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Full text of "North Carolina Register v.11 no. 19 (1/2/1997)"

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NORTH CAROLINA 




>LUME 11 • ISSUE 19 • Pages 
January 2, 1997 




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HISISS1 

Executive Order,, w 
InAddstidfi I E 
Administration, Department of 
1 Adiniftistfativ§I^rm^,|OfBce of 
Community Colleges 
Cultural Resources 

Environment, Health, and Natural Reso^cejN^ /// 
Human Resources 

ursing, Board of 

efrigeration Examiners, Board of 

dH^ I i&l \y 2§ 

Social Work, Certificatipnl 

List of Rules Codified 
Rules Review Commissio 
Contested Case Decisions 



r? 




JAN 6 1997 



KATHttW*! R. EVERETT 

LAW LIS*AJt? 



PUBLISHED BY 

Tfte Office of Administrative Hearings 
Rules Division 
PO Drawer 27447 
Raleigh, NC 27611-7447 
Telephone (919) 733-2678 
Fax (919) 733-3462 



This publication is printed on permanent, acid-free paper in compliance with G.S. 125-11.13 



NORTH CAROLINA 




IN THIS ISSUE 

I. EXECUTIVE ORDERS 

Executive Orders 1406 



n. IN ADDITION 



1407 



Volume 1 1 , Issue 1 9 
Pages 1 406 - 1532 

January 2, 1 997 



This issue contains documents officially filed 
through December 6, 1996. 



Office of Adrninistrative Hearings 

Rules Division 

424 North Blount Street (27601) 

PO Drawer 27447 

Raleigh, NC 27611-7447 

(919) 733-2678 

FAX (919) 733-3462 



m. RULE-MAKING AGENDA 

Environment, Health, and Natural Resources .... 1408 - 1412 
Coastal Resources Commission 
Environmental Management Commission 
Health Services, Commission for 
Water Pollution Control System Operators Certification Comm. 

IV. RULE-MAKING PROCEEDINGS 
Administrative Hearings, Office of 

Rules Division 1413 

Transportation 
Motor Vehicles, Division of 1413 

V. PROPOSED RULES 

Administration, Department of 

State Building Commission 1414 - 1416 

Environment, Health, and Natural Resources 

Wildlife Commission 1427 - 1428 

Insurance 

Engineering and Building Codes Division 1416 - 1425 

Property and Casualty Division 1426 - 1427 

Licensing Board 

Nursing, Board of 1428 - 1429 

State Personnel 

State Personnel Commission 1429 - 1435 

VI. TEMPORARY RULES 

Cultural Resources 

USS NC Battleship Commission 1436 

Environment, Health, and Natural Resources 

Departmental Rules 1439 - 1442 

Water Pollution Control System Operators 

Certification Commission . 1442 - 1448 

Human Resources 
Medical Assistance, Division of 1436 - 1439 

VH. APPROVED RULES 1449 - 1512 

Community Colleges 

Environment, Health, and Natural Resources 

Human Resources 

Occupational Licensing Boards 

Refrigeration Examiners, Board of 

Social Work, Certification Board for 
Revenue 



Julian Mann IU, Director 

James R. Scarcella Sr. , Deputy Director 

Molly Masich, Director of APA Services 

Ruby Creech, Publications Coordinator 

Teresa Kilpatrick, Editorial Assistant 

Jean Shirley, Editorial Assistant 
Linda Richardson, Editorial Assistant 



Vm. LIST OF RULES CODIFIED 1513 

DC RULES REVIEW COMMISSION 1514 - 1517 

X. CONTESTED CASE DECISIONS 

Index to ALJ Decisions 1518 - 1529 

Text of Selected Decisions 
96 EHR 0692 1530 - 1531 

XI. CUMULATIVE INDEX 1-38 



Digitized by the Internet Archive 

in 2011 with funding from 

University of North Carolina at Chapel Hill 



http://www.archive.org/details/northcarolinareg1119nort 






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EXECUTIVE ORDERS 



EXECUTIVE ORDER NO. 105 

AMENDING EXECUTIVE ORDERS NO. 99, 102 AND 103 

CONCERNING EMERGENCY RELIEF FOR DAMAGE 

CAUSED BY HURRICANE FRAN 

WHEREAS, Executive Order No. 99 was issued to provide emergency relief for damage caused by Hurricane Fran by 
waiving certain size and weight restrictions for certain vehicles; and 

WHEREAS, Executive Order No. 99 has been amended by Executive Order No. 102 and Executive Order No. 103; and 

WHEREAS, in order to comply with federal law, there is a need to amend Executive Order No. 99 again. 

NOW, THEREFORE, pursuant to the authority vested in me as Governor by the Constitution and laws of this State, TT IS 
ORDERED: 

Executive Order No. 99, as amended, is not applicable to the Interstate Highway System within North Carolina. All other 
provisions of Executive Order No. 99, as amended, shall remain in effect. 



Done in Raleigh, North Carolina, this 2 nd day of December, 1996. 



11:19 NORTH CAROLINA REGISTER January 2, 1997 1406 



IN ADDITION 



This Section contains public notices that are required to be published in the Register or have been approved by the 
Codifier of Rules for publication. 



G.S. 150B-21.17 requires the Codifier of Rules to publish certain information determined to be in the public interest. 
Pursuant to the specific written request of the Petree Stockton, law firm of Raleigh, North Carolina, the document printed 
below is published under this authority, without comment. Publication of public information under this section should not 
be construed to have any legal effect upon any pending litigation or rulemaking procedure. 

"Pursuant to N.C.G.S. 150B-21. 1(b), I hereby find that the Agency's written statement of its findings of need for the 
temporary rules proposed as 10 N.C.A.C. 3R .3030(8)(a),(b), (c) and (d) does not meet the criteria set forth in N.C.G.S. 
150B-2 1.1(a), in that the Agency has not shown that adherence to the notice and hearing requirements of the Administrative 
Procedure Act would be contrary to the public interest. Therefore, I do not approve of the adoption of proposed 10 N.C.A.C. 
3R .3030(8)(a),(b), (c) and (d) as temporary rules. I do approve the remaining temporary rules submitted by the Agency as 
10 N.C.A.C. 3R .3001, .3010, .3020. .3030(l)-(7) and (8)(e)-(h), .3032, .3040 and .3050." 

s/Beecher R. Gray 
12/29/95 
Attachment A 



1407 NORTH CAROLINA REGISTER January 2, 1997 11:19 



RULE-MAKING AGENDA 



An agency may choose to publish a rule-making agenda which serves as a notice of rule-making proceedings if the agenda 
includes the information required in a notice of rule-making proceedings. The agency must accept comments on the 
agenda for at least 60 days from the publication date. Statutory reference: G.S. 150B-21.2. 



TITLE 15A - DEPARTMENT OF ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

This agenda will serve as the notice of rule-making proceedings for the following rule-making bodies from January 2, 1997 
through March 3, 1997: 

Environmental Management Commission - to rules codified in 15 A NCAC 2; 

Coastal Resources Commission - to rules codified in 15A NCAC 7; 

Water Pollution Control System Operators Certification Commission - to rules codified in 15 A NCAC 8F; and 

Commission for Health Services - to rules codified in 15A NCAC ISA and 26. 

DEHNR Regulatory Agenda Index - December 6, 1996 



AIR OUALITY 




APA# 


SUBJECT 


E2128 


Annual Emission Reporting 


E2129 


Open Burning 


E2130 


Volatile Organic Compound Emissions 



E2131 



Transportation Conformity 



RULE CITATION & 

15A NCAC 2Q .0207 

15A NCAC 2D . 1902, . 1903 

15A NCAC 2D .0518, .0950, .0902, .0909, .0917 - .0924, 

.0934, .0948, .0949, .0951 and 2Q .0102 

15ANCAC2D .1500 



COASTAL MANAGEMENT 
AEA# SUBJECT 

E2134 Ocean Mining 



RULE CITATION # 

15A NCAC 7M .1200; 7H .0106; 7H .0208(b)(ll) 



ENVIRONMENTAL HEALTH/ONSITE WASTEWATER 
APA # SUBJECT 

H653 1 Law and Rules for Sewage Treatment 

and Disposal Systems Permits 



RULE CITATION # 

15A NCAC 18A .1937, .1938, .1958, .1961 

(To be filed as temporary rules) 



HEALTH AND ENVIRONMENTAL STATISTICS 

APA # SUBJECT 

H6532 Birth Defects Monitoring Program 



RULE CITATION # 

15A NCAC 26C .0001- .0007 



WATER OUALITY 



APA # 
E2120 



SUBJECT 

Certification of Operators of Animal 

Waste Management Systems 



RULE CITATION & 

15A NCAC 8F .0101, .0102, .0201, .0202, .0203, .0301, 

.0401-.0407, .0501 - .0507 (Filed as temporary rules) 



APA #: E2120 
SUBJECT: Certification of Operators of Animal Waste Management Systems 

RULE CITATION #: 15A NCAC 8F .0101, .0102, .0201, .0202, .0203, .0301, .0401-.0407, .0501 - .0507 
STATUTORY AUTHORITY: G.S. 90A-35; 90A-37; 90A-38; 90A-39; 90A-41; 90A-43; 90A-44; 90A-47; 143B-300; 
150B-3; 150B-23; 150B-38; 150B-52 
DIVISION/SECTION: WATER QUALITY 
DIVISION CONTACT: Ron Ferrell 
DIVISION CONTACT TEL#: (919)733-0026 
DATE INITIATED: 11/6/96 
DURATION OF RULE: Temporary 1/1/97 
TYPE OF RULE: 

STAGE OF DEVELOPMENT: Draft Rule Stage 
GOV LEVELS AFFECTED: None 
REASON FOR ACTION: 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1408 



RULE-MAKING AGENDA 



The purpose of this rulemaking is to establish the certification procedures and requirements for operators of animal 
waste management systems as required by NCGS 90A-47. The intent of this certification is to reduce nonpoint source 
pollution that may result from the land application of animal waste that is generated by animal operations as defined 
at NCGS 143-215. 10B. The certification program is designed to protect the public health and to conserve and protect 
the quality of the State's agricultural land for the production of food and other agricultural products, and to require 
the examination of animal waste management system operators and certification of their competency to operate or 
supervise the operation of those systems. 
SCOPE/NATURE/SUMMARY: 

The proposed rules set forth the requirements and procedures for the training and certification of persons who perform 
the land application of animal waste that is generated by animal operations as required by NCGS 90A-47. This 
certification program is administered by the Water Pollution Control System Operators Certification Commission 
(Commission). The purpose of these rules is to reduce nonpoint source pollution in order to protect the public health 
and to conserve the quality of the state's water resources. These rules are also intended to encourage the development 
and improvement of the state's agricultural land for the production of food and other agricultural products. 
The proposed rules apply to all animal operations as defined at NCGS 143-215. 10B. The owners of these facilities 
are required to designate and maintain a certified Operator in Charge by January 1, 1997 who is responsible for the 
application of animal waste to the land. The Operator in Charge of the facility is responsible for ensuring that the 
application of animal waste to the land is performed in accordance with the animal waste management plan for the 
facility. As stipulated by the enabling legislation, to become certified an individual must attend ten (10) hours of 
training approved by the Commission and demonstrate competence in the operation of animal waste management 
systems by passing an examination. The Commission may assess a civil penalty of up to $1,000 for failure to comply 
with the requirements of these rules. 

APA #: E2128 

SUBJECT: Annual Emission Reporting 

RULE CITATION #: 15A NCAC 2Q .0207 

STATUTORY AUTHORITY: G.S. 143-215. 3(a)(1), (la), (lb), (Id); 143-215.65; 143-215. 106A; 143-215.107; 143B-282; 

150B-21.6 

DIVISION/SECTION: AIR QUALITY 

DIVISION CONTACT: Thomas Allen 

DIVISION CONTACT TEL#: (919)733-1489 

DATE INITIATED: 11/22/96 

DURATION OF RULE: Permanent 7/1/98 

TYPE OF RULE: 

STAGE OF DEVELOPMENT: Concept Stage 

GOV LEVELS AFFECTED: None 

REASON FOR ACTION: 

To add perchloroethylene to the list of compounds in 15A NCAC 2Q .0207 for annual reporting of emissions is 
required. 

SCOPE/NATURE/SUMMARY: 

Rule 15A NCAC 2Q .0207, Annual Emissions Reporting, requires the owners or operators of Title V facilities to 
report each year the actual emissions of listed compounds that occurred during the previous year. One of the listed 
compounds is volatile organic compounds (VOC). Until recently, perchloroethylene was included in the emissions 
of VOC. However, the definition of VOC has been amended to exclude perchloroethylene. Because it is a hazardous 
air pollutant, the emissions of perchloroethylene still needs to be reported annually. Therefore, 15A NCAC 2Q .0207 
needs to be amended to add perchloroethylene to the list of compounds that need to be reported annually. 

APA #: E2129 

SUBJECT: Open Burning 

RULE CITATION #: 15A NCAC 2D .1902, .1903 

STATUTORY AUTHORITY: G.S. 143-212; 143-213; 143-215. 3(a)(1); 143-215. 107(a)(5) 

DIVISION/SECTION: AIR QUALITY 

DIVISION CONTACT: Thomas Allen 

DIVISION CONTACT TEL#: (919)733-1489 

DATE INITIATED: 11/22/96 

DURATION OF RULE: Permanent 7/1/98 

TYPE OF RULE: 



1409 NORTH CAROLINA REGISTER January 2, 1997 11:19 



RULE-MAKING AGENDA 



STAGE OF DEVELOPMENT: Concept Stage 
GOV LEVELS AFFECTED: None 
REASON FOR ACTION: 

To change the name of the Asbestos Hazardous Management Branch to Health Hazard Control Branch in the open 

burning rules. 
SCOPE/NATURE/SUMMARY: 

The Asbestos Hazardous Management Branch has changed its name to Health Hazard Control Branch. Rules 15A 

NCAC 2D . 1902, Definitions, and . 1903, Permissible Open Burning Without a Permit, need to be amended to make 

this name change. 

APA #: E2130 

SUBJECT: Volatile Organic Compound Emissions 

RULE CITATION #: 15A NCAC 2D .0518, .0902, .0909, .0917 - .0924, .0934, .0948, .0949, .0950, .0951 and 2Q .0102 

STATUTORY AUTHORITY: G.S. 143-215. 3(a)(1); 143-215. 107(a)(4); 143-215. 107(a)(5); 143-215.108 

DIVISION/SECTION: ATR QUALITY 

DIVISION CONTACT: Thomas Allen 

DIVISION CONTACT TEL#: (919)733-1489 

DATE INITIATED: 11/22/96 

DURATION OF RULE: Permanent 

TYPE OF RULE: 

STAGE OF DEVELOPMENT: Concept Stage 

GOV LEVELS AFFECTED: None 

REASON FOR ACTION: 

To replace 15A NCAC 2D .0518, an archaic rule, with a more common sense and reasonable rule. 

SCOPE/NATURE/SUMMARY: 

Paragraph (d) of Rule 15A NCAC 2D .0518, Miscellaneous Volatile Organic Compound Emissions, is an antiquated 
concept. Whether or not emissions of volatile organic compounds (VOC) are restricted under this rule depends on the 
composition of the mixture. If a solvent mix contains compounds defined by chemical structure as being 
photochemically reactive above a specified percentage, then the emissions of these compounds are restricted. However, 
if a solvent contains these same photochemically reactive compounds below the specified percentage, then the emissions 
of these compounds are not restricted. Further, the concept that photochemically reactivity of a VOC is solely 
determined by its chemical structure is no longer accepted. 

Presently primary consideration is being given to replacing this rule with a work-practice type standard. For example, 
typical work practices could include storing all waste material containing volatile organic compounds in closed 
containers, cleaning up spills immediately, storing wipe rags in closed containers when not in use, not cleaning 
absorbent materials, and covering all containers holding materials containing volatile organic compounds when not in 
use. Special provisions may be added for degreasing or cleaning operations, such as, flushing parts in the freeboard 
area, reducing the pooling of solvent on and in the parts, tilting or rotating parts to drain as much solvent as possible 
and allow sufficient time for drying, not fill cleaning machines above the fill line, and not agitate solvent to the point 
of causing splashing. The current rule covers only the use of solvent. The replacement probably would cover not only 
the use of VOC as solvent, but also as reactants or product constituents. 

Other control options may also be considered. Analysis is planned to determine if the elimination of 15A NCAC 2D 
.0518(d) makes a difference in ambient ozone concentration. If a new rule is proposed, it would be placed in Section 
15A NCAC 2D .0900, Volatile Organic Compounds, and would be statewide in effect. 

With the elimination of 15 A NCAC 2D .0518, rules 15A NCAC 2D .0948, VOC Emissions from Transfer Operations, 
and .0949, Storage of Miscellaneous Volatile Organic Compounds, would need amending to extend them statewide 
to replace similar requirements currently in 15 A NCAC 2D .0518. Other clarifying revisions may also be made to 
these two rules. Rule 15A NCAC 2D .0902, Applicability, would need amending to identify the new rules that would 
be effective statewide. Also Rule 15A NCAC 2D .0950, Interim Standards for Certain Source Categories, could be 
repealed and pertinent parts of this Rule could be placed in Rule 15A NCAC 2D .0951, Miscellaneous Volatile Organic 
Compound Emissions. Further, the coating rules in Section 15A NCAC 2D .0900 could be amended to remove the 
grandfather provision, which would no longer be needed with the repeal of 15A NCAC 2D .0518. Several other rules 
may need amending to correct cross-references. 

In summary the anticipated action includes adopting one new rule, repealing two rules (15A NCAC 2D .0518 and 
.0950) and amending 15A NCAC 2D .0902, .0909, .0917 - .0924, .0934, .0948, .0949 and .0951 and 2Q .0102. 

APA #: E2131 



11:19 NORTH CAROLINA REGISTER January 2, 1997 1410 



RULE-MAKING AGENDA 



SUBJECT: Transportation Conformity 

RULE CITATION #: 15A NCAC 2D .1500 

STATUTORY AUTHORITY: G.S. 143-215.3(a)(l); 143-215. 107(a)(10) 

DIVISION/SECTION: AIR QUALITY 

DIVISION CONTACT: Thomas Allen 

DIVISION CONTACT TEL#: (919)733-1489 

DATE INITIATED: 11/22/96 

DURATION OF RULE: Permanent 

TYPE OF RULE: 

STAGE OF DEVELOPMENT: Concept Stage 

GOV LEVELS AFFECTED: None 

REASON FOR ACTION: 

To revise the transportation conformity rules to change citations of referenced Code of Federal Regulations. 

SCOPE/NATURE/SUMMARY: 

EPA is in the process of combining the transportation conformity rules contained in 40 CFR Part 51 with those 
contained in 40 CFR Part 93. This change will require amending the rules in Section 15A NCAC 2D .1500, 
Transportation Conformity, to change the citations of the referenced Code of Federal Regulations from the rules 
contained in 40 CFR Part 51 to those in 40 CFR Part 93. Some other minor changes may also have to be made to rules 
in this Section in order to incorporate the federal requirements for transportation conformity. 

APA #: E2134 

SUBJECT: Ocean Mining 

RULE CITATION #: 15A NCAC 7M .1200; 7H .0106; 7H .0208(b)(ll) 

STATUTORY AUTHORITY: G.S. 113A-102; 113A-107; 113A-107(b); 113A-108; 113A-1 13(b); 113A-124 

DIVISION/SECTION: COASTAL MANAGEMENT 

DIVISION CONTACT: Kim Crawford 

DIVISION CONTACT TEL#: (919)733-2293 

DATE INITIATED: 12/2/96 

DURATION OF RULE: Permanent 

TYPE OF RULE: 

STAGE OF DEVELOPMENT: Draft Rule Stage 

GOV LEVELS AFFECTED: None 

REASON FOR ACTION: 

The CRC currently has no specific use standards for mining hard minerals in ocean waters. Offshore mining for 
phosphates and sand and gravel is a distinct possibility in the future as nearshore and land-based sources become 
depleted. There are studies underway by state and federal agencies to determine if there are suitable sources of sand 
offshore for beach renourishment. The general use standards for public trust AECs are not adequate to review a 
development proposal for offshore mining. In addition, the Mining Act does not cover areas less than an acre. Nor 
does the Division of Land Resources permit minin g activities that are non-commercial. 

SCOPE/NATURE/SUMMARY: 

As written, this rule would provide a review of activities that would not fall under the purview of the Mining Act. 

The rule requires mitigation and restoration of affected areas, and protects critical habitat and resources, such as natural 

and artificial reefs, coral outcrops and shipwrecks. 

The general policy for ocean mining clarifies that the state has an interest in mining activities in both state and federal 

waters, since mining activities beyond three miles have the potential to impact coastal resources. The policy further 

states that the usefulness, productivity and other values of the state's ocean waters shall be protected, foremost, and 

restored if there are impacts from mining activities. 

Mining is defined to include areas that are not subject to review under the Mining Act. The proposed rule also 

specifies that dredging activities for the purposes of mining must meet the standards in the rule. 

APA #: H6531 

SUBJECT: Law and Rules for Sewage Treatment and Disposal Systems 

RULE CITATION #: 15A NCAC 18A.1937, .1938, .1958, .1961 

STATUTORY AUTHORITY: G.S. 130A-335(e),(f) 

DIVISION/SECTION: ENVIRONMENTAL HEALTH/ONSITE WASTEWATER INSPECTIONS 

DIVISION CONTACT: William Jeter 

DIVISION CONTACT TEL#: (919)715-3274 



1411 NORTH CAROLINA REGISTER January 2, 1997 11:19 



RULE-MAKING AGENDA 



DATE INITIATED: 10/31/96 

DURATION OF RULE: Temporary 11/15/96 

TYPE OF RULE: 

STAGE OF DEVELOPMENT: Draft Rule Stage 

GOV LEVELS AFFECTED: None 

REASON FOR ACTION: 

The proposed Temporary Rules are necessary because of amendments to G.S. 130-333 et seq., Wastewater Systems, 
enacted by the Legislature during the Short Sessions of 1996. 

The principle amendments are 1) the addition of an Improvement Permit that is valid for five (5) years, 2) definitions 
of a plat and a site plan, 3) the redefinition of the period of validity for an authorization for wastewater system 
construction to be up to five (5) years, and 4) the addition of a subsection to allow for the withholding of funds to local 
health departments under certain conditions. 

SCOPE/NATURE/SUMMARY: 

Those portions of the rules for sewage treatment and disposal systems, 15A NCAC 18A 1900 et seq., that govern the 
permits required for the installation, operation, and repair of systems that discharge to the land's subsurface, 18A 
. 1937, are proposed to be changed in order that they may accurately reflect the amendments, enacted by the Legislature 
during the 1996 Short Sessions. These proposed temporary rules were reviewed by representatives of the field 
personnel, supervisors, and directors of local health departments. 

APA #: H6532 

SUBJECT: Birth Defects Monitoring Program 

RULE CITATION #: 15A NCAC 26C .0001- .0007 

STATUTORY AUTHORITY: G.S. 

DIVISION/SECTION: HEALTH AND ENVIRONMENTAL STATISTICS 

DIVISION CONTACT: Jan Ellington 

DIVISION CONTACT TEL#: (919)715-4402 

DATE INITIATED: 10/31/96 

DURATION OF RULE: Permanent 8/1/98 

TYPE OF RULE: 

STAGE OF DEVELOPMENT: Draft Rule Stage 

GOV LEVELS AFFECTED: None 

REASON FOR ACTION: 

Senate Bill 818, which was ratified in the 1995 session of the General Assembly, amended Article 5 of Chapter 130A 
by adding Part 7, "Birth Defects". This new part establishes the Birth Defects Monitoring Program within the State 
Center for Health Statistics, and directs the Commission to adopt rules pertaining to the use of monitoring program 
information for scientific research. 

SCOPE/NATURE/SUMMARY: 

This rule covers the major components of the design and operation of the Birth Defects Monitoring Program. Because 
this legislation expands the scope of birth defects data collection activities to include hospital medical records, the scope 
of the proposed rule is broadened to cover monitoring program operations related to data access and collection, in 
addition to confidentiality issues. Specific areas addressed by this rule are: 1) required skills, training, and expertise 
of monitoring program staff; 2) development, composition, and functions of the Birth Defects Advisory Committee; 
3) operational procedures, including case definition, data sources, and procedures for accessing and abstracting hospital 
medical records; 4) procedures for safeguarding confidentiality of monitoring program information; and 5) specific 
guidelines for the release of monitoring program information for scientific research. 



11:19 NORTH CAROLINA REGISTER January 2, 1997 1412 



RULE-MAKING PROCEEDINGS 



A Notice of Rule-making Proceedings is a statement of subject matter of the agency 's proposed rule making. The agency 
must publish a notice of the subject matter for public comment at least 60 days prior to publishing the proposed text of 
a rule. Publication of a temporary rule serves as a Notice of Rule-making Proceedings and can be found in the Register 
under the section heading of Temporary Rules. A Rule-making Agenda published by an agency serves as Rule-making 
Proceedings and can be found in the Register under the section heading of Rule-making Agendas. Statutory reference: 
G.S. 150B-21.2. 



TITLE 19A - DEPARTMENT OF 
TRANSPORTATION 



TITLE 26 - OFFICE OF ADMINISTRATIVE 
HEARINGS 



CHAPTER 3 - DmSION OF MOTOR VEHICLES 



CHAPTER 2 - RULES DrVTSION 



A Totice of Rule-making Proceedings is hereby given by the 
1 V North Carolina Department of Transportation - Division 
of Motor Vehicles in accordance with G.S. 150B-21.2. The 
agency shall subsequently publish in the Register the text of 
the rule(s) it proposes to adopt as a result of this notice of 
rule-making proceedings and any comments received on this 
notice. 

Citation to Existing Rules Affected by this Rule-Making: 

19A NCAC 031 .0100- . 0800 

Authority for the rule-making: G.S. 20-1; 20-39(b); 20- 
320 through 20-339 

Statement of the Subject Matter: Rules set parameters for 
commercial driver training schools and provide information 
about the schools and driver training program. 

Reason for Proposed Action: Proposed changes will 
correct grammatical errors and clarify information regarding 
commercial driver training schools. 

Comment Procedures: Any interested person may submit 
written comments on the proposed rules by mailing the 
comments to Emily Lee, Department of Transportation , PO 
Box 25201, Raleigh, NC 27611, within 30 days after the 
proposed rules are published. 



\ Totice of Rule-making Proceedings is hereby given by the 
1 1 Office of Administrative Hearings in accordance with 
G.S. 150B-21.2. The agency shall subsequently publish in 
the Register the text of the rule it proposes to adopt as a 
result of this notice of rule-making proceedings and any 
comments received on this notice. 

Citation to Existing Rules Affected by this Rule-Making: 

26 NCAC 2C 

Authority for the rule-making: G.S. 150B-21.17, 150B- 

21.19 

Statement of the Subject Matter: Rules establish the 
requirements for submitting rules to be published in the 
Register and rules codified in the Code. 

Reason for Proposed Action: Pursuant to Ratified House 
Bill 53, Sec. 8.5, of the 1996 Second Extra Session, the 
General Assembly appropriated funds for a comprehensive 
rules management system. This system will automate many 
functions in the OAH Rules Division and provide electronic 
access to these functions by the General Assembly, the Office 
of Administrative Hearings, and the Rules Review 
Commission. The new rules management system will require 
changes to existing publication rules and may require the 
adoption of additional rules in 26 NCAC 2C. With the 
implementation of the management system, it may be 
necessary for the new rules and the changes to existing rules 
be adopted as temporary rules. 



Comment Procedures: Written comments should be mailed 
to: Anna Baird, Rule-making Coordinator , PO Drawer 
27447, Raleigh, NC 27611-7447, or may be hand delivered 
to 424 N. Blount Street, Raleigh, NC. 



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This Section contains the text of proposed rules. At least 60 days prior to the publication of text, the agency published 
a Notice of Rule-making Proceedings. The agency must accept comments on the proposed rule for at least 30 days from 
the publication date, or until the public hearing, or a later date if specified in the notice by the agency. The required 
comment period is 60 days for a rule that has a substantial economic impact of at least five million dollars ($5,000,000). 
Statutory reference: G.S. 150B-21.2. 



TITLE 1 - DEPARTMENT OF ADMINISTRATION 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the State Building Commission intends 
to adopt rules cited as 1 NCAC 30G .0101 - .0105. Notice 
of Rule-making Proceedings was published in the Register on 
May 15, 1996. 

Proposed Effective Date: August 1, 1998 

Instructions on How to Demand a Public Hearing (must be 
requested in writing within 15 days of notice): A demand for 
a public hearing must be made in writing, addressed to R. 
Glen Peterson, Department of Administration, 116 West 
Jones Street, Raleigh, NC 27603-8003. The demand must be 
received within 15 days of publication of this notice. 

Reason for Proposed Action: These Rules are proposed to 
establish procedures and criteria by which the State Building 
Commission can evaluate requests to use alternative 
contracting methods in public construction, as authorized by 
the 1995 General Assembly. 

Comment Procedures: Any interested person may submit 
written comments on the proposed rules to R Glen Peterson, 
Department of Administration, 116 West Jones Street, 
Raleigh, NC 27603-8003. Comments must be received no 
later than 5:00 p.m. on February 3, 1997. 

Fiscal Note: Rules 1 NCAC 30G . 0101 - . 0103 do not affect 
the expenditures or revenues of state or local government 
funds. These Rules do not have a substantial economic 
impact of at least five million dollars ($5,000,000) in a 12- 
month period. Rules 1 NCAC 30G .0104 - .0105 do affect 
the expenditures or revenues of state or local government 
funds. These Rules do not have a substantial economic 
impact of at least five million dollars ($5,000,000) in a 12- 
month period. 

CHAPTER 30 - STATE CONSTRUCTION OFFICE 

SUBCHAPTER 30G - STATE BUILDING 

COMMISSION PROCEDURES AND CRITERIA FOR 

AUTHORIZATION TO USE AN ALTERNATIVE 

CONTRACTING METHOD 

SECTION .0100 - GENERAL PROVISIONS 

.0101 AUTHORITY 



The State Building Commission, hereinafter referred to as 
SBC, is a statutory body, empowered by law to perform a 
multiplicity of duties with re gard to the State's capital 
facilities development and management program. In the 
specific area of State capital improvement project 
requirements for building contracts, the SBC is empowered 
by G.S. 143-135.26 to adopt procedures which allows a State 
agency or institution, a local governmental unit, or any other 
entity subject to the provisions of G.S. 143-129 to use a 
method of contracting not authorized under G.S. 143-128. 
The use of any other alternative method shall be a pproved jn 
advance by the SBC for any single project. 

Authority G.S. 143-135.26. 

.0102 POLICY 

To assure that the public trust is carefully exercised, the 
North Carolina General Assembly has enacted a number of 
special procedures for the letting and administration of public 
construction contracts. They also help to assure that public 
owners receive good value in their expenditure of the public 
funds and that they do not pay excessive prices for 
construction. Therefore, it is the policy of the SBC that the 
public's interest is typically best served by the letting of 
public construction contracts pursuant io these special 
statutory procedures, particularly the provisions of G.S. 143- 
128. Nevertheless, the SBC recognizes that extraordinary 
circumstances do arise which justify an exemption from the 
methods of contracting authorized under G.S. 143-128. The 
categories of exemptions and other criteria set forth herein 
are designed to provide a fair and uniform means by which 
the SBC can determine that the requisite justifications to 
obtain an exemption have been adequately demonstrated. 

Authority G.S. 143-135.26. 

.0103 DEFINITIONS 

For the purposes of these Procedures and Criteria, the 
following definitions shall apply: 

(1) "Alternative contracting method" includes by way 
of example, but not limited to: 
£a) the sin gle-prime contracting system, not 
otherwise authorized under G.S. 143-128. 
(b) the design-build delivery system, or 
(cl the construction management delivery 
system. 
(21 "Chairman" means the Chairman of the State 

Building Commission. 
(3) "Construction management delivery system" means 



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the alternative contracting method where the public 
owner contracts for a fee with a single person, but 
not the project general contractor, who administers 
contracts with separate contractors for the 
construction of the project and who is responsible 
as agent to the public owner for the coordination 
and management of the project, but where the 
public owner remains liable to the separate 
contractors. 

(4) "Design-build delivery system" means that the 
public owner contracts for a fee with a single 
person for the design, management and 
construction of a project. 

(5) "Director" means the Director of the State 
Construction Office. 

(6) "Exemption" means the grant of authorization by 
the SBC for the use of a method of contracting not 
otherwise authorized under G.S. 143-128. 

£7) "Person" means a person, firm or corporation. 
(8) "Project" means the building or facility for which 

an exemption is requested by the public owner. 

and upon which the work will be performed. 
(91 "Public owner" means a state agency or institution. 

a local government unit, or any other entity subject 

to the provisions of G.S. 143-129. 
( \0) "SBC" means the State Building Commission. 
(11) "Work" means the erection, repair, construction. 

renovation or alteration to be performed upon a 

building or facility. 

Authority G.S. 143-135.26. 

.0104 GENERAL PROCEDURES 

(a) Application Form - The SBC shall establish a form of 
application, along with a copy of the rules for application 
approved by the SBC, to be used by public owners requesting 
an exemption, which shall upon request be provided to public 
owners. A completed application shall contain all of the 
information necessary to enable the SBC to determine the 
appropriateness and merits of approving an exemption. 

(b) Rules for Application ; The SBC shall establish rules 
for application to be used by public owners requesting an 
exemption, which shall upon request be provided to public 
owners. 

(c) Review of Application: 

f 1) The public owner shall submit the application to 
the State Construction Office. Attention: Director- 
Department of Administration. New Education 
Building. Suite 450. 301 North Wilmington Street. 
Raleig h. North Carolina 27601-2827. The 
Director shall review the application upon its 
receipt. If the Director determines that the 
application is not complete, he shall return the 
application to the public owner along with a 
written notice of the reasons for the return. 
Despite the return of an application, a public 



owner may request hi writing to the Director that 

the SBC consider the application as. originally 

submitted, and the notice of return to die public 

owner shall so state this option. An application 

shall be considered abandoned if ii is returned 

pursuant to this Section, and no further action is 

taken by the public owner to satisfy the reasons for 

its return. 

(2) The SBC shall generally meet once per month to 

review applications and to conduct its other 

business. Completed applications shall be 

considered within 60 days of receipt by the 

Director of the completed application. Once 

scheduled for consideration by the SBC, the public 

owner shall be given notice of the date, time and 

location of the SBC meeting at which the 

application shall be considered. 

£3} The SBC shall only accept written applications. 

After due consideration of these applications, the 

SBC shall take one of the following actions: 

(A) Delay consideration of the application: 

£B) Deny the application: or 

(C) Approve the application. 

Within five days of the SBC's action upon the 

application, notice of the same shall be sent to the 

public owner, and to the Director. Upon a delay 

of consideration pursuant to Paragraph (a) of this 

Rule, the SBC shall immediately request from the 

public owner or other person further information 

required in order to make a determination, or 

provide the public owner with notice of other good 

cause existing for the delay. 

(d) Approval of an Application - Approval of an 

application authorizes the public owner to utilize only the 

alternative contracting method as proposed by the public 

owner and no other method of contracting. Approval of an 

application shall be effective for a period to be determined by 

the SBC but not exceeding 12 months, unless that effective 

time period is extended by the SBC upon good cause shown 

by the public owner. The extension of an effective time 

period shall be for no more than 12 months and shall run 

from the last day of the prior effective time period. The 

effective time period shall run from the date the SBC 

approves the application. 

(el Voting ; The authorization for an alternative 
contracting method shall be approved by two-thirds of the 
members of the SBC present and voting . A member of the 
SBC is not qualified to vote upon any matter or influence any 
other member's vote upon any matter in which he has a 
conflict of interest. A conflict of interest, as related to 
members of the SBC, is defined in G.S. 143-135.28. 

(fl Public Records - The Director shall maintain a list of 
applications which states the name of the public owner, the 
name of the project, the project amount, a brief description 
of the category for which the exemption is sought, and a 
record of the SBC's action. Applications, and a record of the 



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PROPOSED RULES 



SBC's action upon those applications, shall be available for 
public inspection. 

Authority G.S. 143-135.26. 

.0105 CRITERIA FOR CONSIDERATION 

(a) General Considerations - Applications shall be subject 
to the following general considerations which the SBC shall 
utilize in reviewing all applications: 

(1) Whether the public owner has adequately justified 
that the requested exemption is applicable to the 
project. 
(21 Whether under the circumstances presented the 
project can be reasonably completed under the 
methods authorized under G.S. 143-128. and if 
not, whether the public owner has adequately 
demonstrated that the proposed alternative 
contracting method is necessary. 
(3) Whether the exemption sought is appropriate and 

in the public's interest. 
(41 Whether the public owner has been responsible in 
the pre-planning stages of the project. 
£b) Criteria for Exemptions z The following criteria 
describe circumstances where the SBC recognizes that a 
project may not be able to be reasonably completed under the 
methods authorized by G.S. 143-128. and where the use of 
an alternative contracting system, not otherwise authorized 
by G.S. 143-128. may be appropriate and in the public's 
interest: 

(1) Special Technology or Equipment ; The project 
involves the erection or construction of special or 
unique technolog y or equipment whose vendor 
requires that its services be purchased in 
conjunction with the technology or equipment: or 
the vendor guarantees the technology or equipment 
only if its services are purchased in conjunction 
with the technology or equipment. 
(21 Unusual Complexity - The project involves one or 
more of the following conditions: 

(A) very specialized or complex type of 
construction involving unconventional 
construction techniques or materials, or 
unusual working conditions: 

(B) major renovations or an addition to an 
existing facility requiring continuous 
coordination of occupied programs or 
operations necessary for the protection of 
public health or safety: or 

(CI extensive repairs, renovations or an addition 

to a major building or facility listed either 

in the North Carolina or Federal Re gister of 

Historic Properties. 

(31 Accelerated Schedule ; A fast track schedule is 

required due to actual or impending judicial 

intervention by means of a State or Federal court 

order, or to address actual or impending regulatory 



mandates or. citation for noncompliance. 
Authority G.S. 143-135.26. 

TITLE 11 - DEPARTMENT OF INSURANCE 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the Department of Insurance intends to 
adopt rules cited as 11 NCAC 8 .1001 - .1011, .1101 - 
.1116, .1201 - . 1209. Notice of Rule-making Proceedings 
was published in the Register on November 1 , 1996. 

Proposed Effective Date: July 1, 1998 

A Public Hearing will be conducted at 9:00 a. m. on January 
17, 1997 at N.C. Department of Insurance , 410 N. Boylan 
Avenue, Raleigh, NC 27603. 

Reason for Proposed Action: To establish licensing 
procedures, standards of practice, and a code of ethics for 
home inspectors as required by law. 

Comment Procedures: Written comments may be sent to 
Grover Sawyer, Department of Insurance, PO Box 26387, 
Raleigh, NC 27611. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. These Rules do 
not have a substantial economic impact of at least five 
million dollars ($5,000,000) in a 12-month period. 

CHAPTER 8 - ENGINEERING AND BUILDING 
CODES DIVISION 

SECTION .1000 - NC HOME INSPECTOR 
LICENSURE BOARD 

.1001 OFFICERS 

The term of each officer shall be one year. Officers shall 
serve until a successor is elected and installed. Officers shall 
be eli gible for re-election. 

Authority G.S. 143-15 1.48(a). 

.1002 MEETINGS 

(a) Re gular Meeting s. The date, time, and location of the 
Board meeting s shall be listed with the Secretary of State's 
office. The chairman shall give written notice of the exact 
meeting place to each member no later than two weeks before 
the meeting. The chairman may reschedule a re gular meeting 
by giving written notice to all members no later than two 
weeks before when the scheduled meeting would normally be 
held. 

(bl Special Meeting s. Written notice of any special 
meeting s shall be given to aU members of the Board at least 
two weeks before the time of the meeting, setting forth the 



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PROPOSED RULES 



time, date, and place of the meeting and the purpose for 
which it shall be held. In the event of an. emergency, the 
notice period may be shortened as long as every member is 
notified before the meeting. 

Authority G.S. 143- 15 1.48(b). 

.1003 PERSONS AND PRACTICES NOT 
AFFECTED 

(a) In addition to persons and practices described in G.S. 
143-151.62. persons who perform inspections on a single 
component of a house are not required to be licensed as long 
as they do not represent themselves as home inspectors. Such 
persons include chimney sweeps, radon inspectors, heating 
and cooling maintenance technicians, and moisture intrusion 
inspectors. 

Co) Professional en gineers and architects do not need home 
inspector licenses to make on site inspections of residential 
buildings for which thev are preparing plans, designs, or 
specifications. General contractors do not need home 
inspector licenses when they inspect a house as part of 
preparing an estimate for construction, remodeling, or 
repairs. 

Authority G.S. 143-151. 49(a)(13). 

.1004 EQUTV ALENT EXPERIENCE 

(a) The Board shall consider equivalent experience of 
applicants who do not meet the experience requirements of 
G.S. 143-151.51(5) or G.S. 143-151.61. Any one of the 
following descriptions of experience is considered sufficient 
to meet the equivalent experience requirements: 

(1) A bachelor of science degree from any accredited 
engineering , architecture or building technology 
school and two years experience working in 
building design, construction, or inspection of 
building, electrical, mechanical, and plumbing 
systems. 

(2) A two year Associate of Applied Science degree 
from an accredited community colleg e or technical 
school in building technology, civil engineering- 
electrical engineering, mechanical en gineering, or 
architecture: and either four years of design 
experience in building, electrical, mechanical, and 
plumbing systems, or four years experience as an 
employee under the direct supervision of a licensed 
general (residential or building) contractor who 
supervises electrical, mechanical, and plumbing 
subcontractors. 

(3) Six years experience as an employee under the 
direct supervision of a licensed general contractor 
(residential or building) performing building 
construction and who supervises electrical, 
mechanical, and plumbing subcontractors. 

(4) Certification by the North Carolina Code Officials 
Qualification Board as a Code Enforcement 



Official with Standard Level I (or. higher) 
inspection certification in four areas: building- 
electrical, mechanical, and plumbing. 

(5) Any combination of certification listed ia 
Paragraph (a)(4) of this Rule and a. license as. an. 
electrical contractor dimited or greater) issued by 
the NC Board of Electrical Examiners, or a license 
as a heating or cooling contractor (HI. H2. or. 
H3). or a plumbing contractor issued by the NC 
Board of Examiners of Plumbing. Heating and 
Fire Sprinkler Contractors, resulting in either a 
certificate or a license in four areas in building, 
electrical, mechanical, and plumbing contracting 
or inspections. 

(6} For the purpose of (LS, 143-151. 51(5)a. the 
number of completed home inspections for 
compensation before October X* 1996. as a home 
inspector may be included. 

(b) Applicants may submit other experience in the design, 
installation, or inspection of buildings and electrical, 
mechanical, and plumbing systems. The Board's Application 
Evaluation Committee shall consider such experience on a 
case-by-case basis. 

(c) Graduation in a home inspection course from a training 
institute or correspondence school is not sufficient to meet 
the equivalent experience alone. However, such courses 
should be listed along with other experience. 

Authority G.S. 143-151. 49(a)(13); 143-15 1.51(5)b. 

.1005 RECD?ROCITY 

If an applicant is licensed as a home inspector m another 
state that has laws and rules that are similar to Article 9F of 
G.S. 143 and to the rules of the Board, the Board shall accept 
that license as evidence of experience. However, the 
applicant shall satisfactorily complete the Board's written 
examination and other licensing requirements before the 
Board shall issue the applicant a license. 

Authority G.S. 143-151. 49<a)(13). 

.1006 NET ASSETS OR SURETY BOND 

To be licensed as a home inspector, an applicant shall 
provide proof to the Board that he or she has personal net 
assets of five thousand dollars (S5.000) or more. In the 
alternative, the applicant shall provide the Board with a cash 
bond or a surety bond in the amount of five thousand dollars 
(S5.000) or more. Any surety bond shall be written by a 
surety company that is authorized by the Commissioner of 
Insurance to do business in this State. 

Authority G.S. 143-151. 49(a)(13); 143-151.51(3). 

.1007 EXAMINATION 

An applicant must satisfactorily pass an examination 
administered bv the Board. The examination shall be 



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PROPOSED RULES 



administered at least twice each yean The applicant must 
answer 70% of the questions correctly to receive a passing 
grade. The examination shall include questions about the 
nilgg of the RoarcL Article 9F of G.S. 143. inspections of the 
building structures and their components, and electrical, 
mechanical . and plumbing systems and appliances. 

Authority G.S. 143-151. 49(a)(13); 143-151.51(2). 

. 1008 APPLICATIONS FOR LICENSES 

Persons may obtain license applications from the Board 
after they pay the appropriate fee. A pplicants shall return a 
completed application form and any supporting 
documentation to the Board at least 30 days before the next 
scheduled examination. The Board shall notify applicants of 
the times, dates, and locations of examinations. If available 
space is not sufficient for. the number of applicants. 
additional examinations shall be scheduled. 

Authority G.S. 143-151. 49(a)(13); 143-151.51. 

.1009 DISPLAY OF LICENSE 

Home inspectors shall display their licenses at their places 
of business. If a home inspector works out of his or her 
home, the inspector shall keep the license on file in the 
home. 

Authority G.S. 143-151. 49(a)(13); 143-151.54. 

.1010 APPEALS 

The initial evaluations of license applications shall be made 
by the Board's staff. Any applicant wishing to appeal the 
staff's decision may make a written request for a review to 
the Board's Application Evaluation Committee. The 
applicant may request a hearing if a ggrieved by. the 
Committee's decision. 

Authority G.S. 143-151. 49(a)(13); 143-151. 56(b). 

.1011 FEE SCHEDULE 

(a) The following fees apply to the licensure of home 
inspectors: 

Application for Home Inspector License $25.00 

Application for Associate Home Inspector 

License $15.00 

Home Inspector F.xamination $75.00 

Associate Home Inspector Examination $75.00 

Initial Issuance of Home Inspector 

License $150.00 

Initial Issuance of Associate Home 

Inspector License $100.00 

Annual Renewal of Home Inspector 

License $150.00 

Annual Renewal of Associate Home 

Inspector License $100.00 

Late Renewal Penalty Fee ; Home 



Inspector License $25.00 

Late Renewal Penalty Fee - Associate 

Home Inspector License $15.00 

Copies of Board Rules and License 

Standards $5.00 

(b) The home inspector and the associate home inspector 
initial issuance license fees are due after successful 
completion of the examination. The Board shall not issue a 
license until it receives the appropriate fee. The license shall 
be valid from the date of issue until the following September 
30, 

(c) An applicant who fails the examination may reapply 
for another examination without payment of another 
application fee,. However, the a pplicant shall pay. the 
examination fee for the examination, 

Authority G.S. 143-151. 49(a)(13); 143-151.55; 143-151.57. 

SECTION .1100 - NC HOME INSPECTOR 

STANDARDS OF PRACTICE AND CODE OF 

ETHICS 

.1101 DEFINTTIONS 

The following definitions app ly to this Section: 

(1) " Automatic safety controls" means devices 
designed and installed to protect systems and 
components from excessively high or low 
pressures and temperatures, excessive electrical 
current, loss of water, loss of ignition, fuel leaks, 
fire, freezing , or other unsafe conditions. 

(2) "Central air conditioning" means a system that 
uses ducts to distribute cooled and/or dehumidified 
air to more than one room or uses pipes to 
distribute chilled water to heat exchangers in more 
than one room, and that is not plugged into an 
electrical convenience outlet. 

(31 "Component" means a readily accessible and 
observable aspect of 3 system, such a§ a floor, or 
wall, but not individual pieces such as boards or 
nails where many similar pieces make up the 
component. 

(4) "Cross connection" means any physical connection 
or arrangement between potable water and any 
source of contamination. 

(5) "Dangerous or adverse situations" means situations 
that pose a threat of injury to the inspector, or 
those situations that require the use of special 
protective clothing or safety equipment. 

(6) "Describe" means report in writing a system or 
component by its type, or other observed 
characteristics, to distinguish it from other 
components used for the same purpose. 

(7) "Dismantle" means to take apart or remove any 
component, device or piece of equipment that is 
bolted, screwed, or fastened by other means and 
that would not be dismantled by a homeowner in 



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PROPOSED RULES 



the course of normal household maintenance. 
(8) "Enter" means to go into an area to observe all 

visible components. 
(91 "Functional drainage" means a drain is functional 

when it empties ia a reasonable amount of time and 

does not overflow when another fixture is drained 

simultaneously. 

(10) "Functional flow" means a reasonable flow at the 
highest fixture in a dwelling when another fixture 
is operated simultaneously. 

(11) "Installed" means attached or connected such that 
the installed item requires tools for removal. 

( 12) "Normal operating controls" means homeowner 
operated devices such as a thermostat, wall switch, 
or safety switch. 

(13) "Observe" means the act of making a visual 
examination. 

(14) "On-site water supply quality" means water quality 
is based on the bacterial, chemical, mineral, and 
solids content of the water. 

(151 "On-site water supply quantity" means water 
quantity is the rate of flow of water. 

(16) "Operate" means to cause systems or equipment to 
function. 

(171 "Readily openable access panel" means a panel 
provided for homeowner inspection and 
maintenance that has removable or operable 
fasteners or latch devices in order to be lifted off. 
swung open, or otherwise removed by one person: 
and its edges and fasteners are not painted in place. 
This definition is limited to those panels within 
normal reach or from a four-foot stepladder. and 
that are not blocked by stored items, furniture, or 
building components. 

( 18) "Representative number" means for multiple 
identical components such as windows and 
electrical outlets ; one such component per room. 
For multiple identical exterior components ; one 
such component on each side of the building . 

(19) "Roof drainage systems" means gutters, 
downspouts, leaders, splashblocks. and similar 
components used to carry water off a roof and 
away from a building. 

(20) "Shut down" means a piece of equipment or a 
system is shut down when h cannot be operated by 
the device or control that a home owner should 
normally use to operate it. If its safety switch or 
circuit breaker is in the "off" position, or its fuse 
is mi ssing or blown, the inspector is not required 
to reestablish the circuit for the purpose of 
operating the equipment or system. 

(21 ) "Solid fuel heating device" means any wood, coal. 
or other similar organic fuel burning device, 
including but not limited to fireplaces whether 
masonry or factory built, fireplace inserts and 
stoves, woodstoves (room heaters), central 



furnaces, and combinations of these devices. 
(22) "Structural component" means a component that 

supports non-variable forces or weights (dead 

loads) and variable forces or weights (live loadsl. 
(231 "System" means a. combination of interacting or 

interdependent components, assembled to carry out 

one or more functions. 
(241 "Technically exhaustive" means an inspection 

involving the extensive use of measurements. 

instruments, testing, calculations, and other means 

to develop scientific or engineering finding s. 

conclusions, and recommendations. 
(251 "Underfloor crawl space" means the area within 

the confines of the foundation and between the 

ground and the underside of the lowest floor 

structural component. 

Authority G.S. 143-151. 49(a)(2); 143-151. 49(a)(13). 

. 1 102 STANDARDS OF PRACTICE 

This Section sets forth the minimum standards of practice 
required of licensed home inspectors and licensed associate 
home ins pectors. In this Section, the term "home inspectors" 
means both licensed home inspectors and licensed associate 
home inspectors. 

Authority G.S. 143-151. 49(a)(2); 143-151. 49(a)(13). 

.1103 PURPOSE AND SCOPE 

(a) Home inspections performed according to this Section 
shall provide the client with a better understanding of the 
property conditions, as observed at the time of the home 
inspection. 
£b) Home inspectors shall: 
(11 Provide a written, signed contract that shall: 

(A1 State that the home inspection is in 

accordance with this Section of the North 

Carolina Home Inspector Licensure Board: 

(B) Describe what services shall be provided 

and their cost: and 
(CI State, when an inspection is for only one or 
a limited number of systems or components, 
that the inspection is limited to only those 
systems or components: 
(21 Observe readily visible and accessible installed 
systems and components listed in this Section: and 
(31 Submit a written report to the client that shall: 

(A1 Describe those systems and components 
specified to be described ia Rules . 1 106 
throug h .1 1 15 of this Section: 
(B1 State which systems and components 
designated for inspection ia this Section 
have been inspected, and state any systems 
or components designated for inspection 
that were not inspected, and the reason for 
not inspecting: 



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(CI State any systems or components so 
inspected that do not function as intended, 
allowing for normal wear and tear, or 
adversely affect the habitability of the 
dwelling: and 

(D1 State the name, license number, and 
signature of the person supervising the 
inspection and the name, license number, 
and signature of the person conducting the 
inspection. 
£cj This Section does not limit home inspectors from: 
(11 Reporting observations and conditions or rendering 

opinions of items in addition to those required in 

Paragraph fbl of this Rule: or 
(21 Excluding systems and components from the 

inspection if requested by the client, and so stated 

in the written contract. 

Authority G.S. 143-151. 49(a)(13). 

. 1 1 04 GENERAL LIMITATIONS 

(a) Inspections done in accordance with this Section are 
visual and are not technically exhaustive. 

£b) This Section applies to buildings with four or less 
dwelling units, and individually owned residential units 
within multi-family buildings, and their attached gara ges or 
carports. 

Authority G.S. 143-151. 49(a)(13). 

.1105 GENERAL EXCLUSIONS 

(al Home inspectors are not required to report on: 
(11 Life expectancy of any component or system: 
(21 The causes of the need for a repair: 
(31 The methods, materials, and costs of corrections: 
(41 The suitability of the property for any specialized 

use: 
(51 Compliance or. non-compliance with codes. 

ordinances, statutes, regulatory requirements or 

restrictions: 
(61 The market value of the property or its 

marketability: 
(71 The advisability or inadvisability of purchase of 

the property: 
(81 Any component or system that was not observed: 
(91 The presence or absence of pests such as wood 

damag in g organisms, rodents, or insects: or 
(101 Cosmetic items, underground items, or items not 

permanently installed. 
(bl Home inspectors are not required to: 
(11 Offer or perform any act or service contrary to 

law: 
(21 Offer warranties or guarantees of any kind: 
(31 Offer or perform engineering, architectural. 

plumbing, electrical or any other job function 

requiring an occupational license in the jurisdiction 



14J 
ill 

m 

ill 

m 



urn 



mi 

(121 
021 

£14} 



where the inspection is taking place, unless the 

home inspector holds a valid occupational license. 

in which case the home inspector may inform the 

client that the home inspector is so licensed, and i§ 

therefore qualified to go beyond this Section and 

perform additional inspections beyond those within 

the scope of the basic inspection: 

Calculate the strength, adequacy, or efficiency of 

any system or component: 

Ente r any area or perform any procedure that 



: may 



da ma ge tie property or its components or he 
dangerous to the home inspector or other persons: 
Operate any system or component that is shut 
down or otherwise inoperable: 
Operate any system or component that does not 
respond to normal operating controls: 
Disturb insulation, move personal item s, panels- 
furniture, equipment, plant life, soil, snow, ice, or 
debris that obstructs access or visibility: 
Determine the presence or absence of any 
suspected adverse environmental condition or 
hazardous substance, including but not limited to 
toxins, carcinogens, noise, contaminants in. the 
building or in soil, water, and air: 
Determine the effectiveness of any system installed 
to control or remove suspected hazardous 
substances: 

Predict future condition, including but not limited 
to failure of components: 
Project operating costs of components: 
Evaluate acoustical characteristics of any system or 
component: or 

Observe special equipment or accessories that are 
not listed as components to be observed in. this 
Section. 



Authority G.S. 143-151. 49(a)(13). 

. 1 106 STRUCTURAL COMPONENTS 

(a) The home inspector shall observe structural 
components including: 

(11 Foundation: 

(21 Floors: 

Ql Walls: 

(41 Columns or piers: 

(51 Ceilings: and 

£6) Roofs, 
(bl The home inspector shall describe the type of: 

(11 Foundation: 

(21 Floor structure: 

(31 Wall structure: 

(41 Columns or piers: 

(51 Ceiling structure: and 

(61 Roof structure, 
(cl The home inspector shall: 

(11 Probe structural components where deterioration is 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1420 



PROPOSED RULES 



suspected, except where probing would damage 
any surface: 

(21 Enter underfloor crawl spaces, basements, and 
attic spaces except when access is obstructed, when 
entry could damage the property, or when 
dangerous or. adverse situations are suspected: 

(3) Report the methods used to observe underfloor 
crawl spaces and attics: and 

£4} Report signs of abnormal or harmful water 
penetration into the building or signs of abnormal 
or harmful condensation on building components. 

Authority G.S. 143-151. 49(a)(13). 

.1107 EXTERIOR 

(a) The home inspector shall observe: 
(1) Wall cladding, flashings, and trim: 
£2} Entrywav doors and a representative number of 

windows: 
(31 Garage door operators: 
£4} Decks, balconies, stoops, steps, areaways. porches 

and applicable railings: 
(51 Eaves, soffits, and fascias: and 
(6) Vegetation, grading, drainage, driveways, patios. 

walkways, and retaining walls with respect to their 

effect on the condition of the building, 
(bl The home inspector shall: 
(It Describe wall cladding materials: 
(21 Operate all entrywav doors and a representative 

number of windows: 

(3) Operate garage doors manually or by. using 
permanently installed controls for any garage door 
operator: and 

(4) Report whether or not any garage door operator 
will automatically reverse or stop when meeting 
reasonable resistance during closing . 

(ct The home inspector is not required to observe: 
(It Storm windows, storm doors, screening, shutters. 

awning s, and similar seasonal accessories: 
(21 Fences: 

(31 Presence of safety glazing in doors and windows: 
(4) Garage door operator remote control transmitters: 
(51 Geological conditions: 
(61 Soil conditions: 
(71 Recreational facilities (including spas, saunas. 

steam baths, swimming pools, tennis courts. 

playground equipment, and other exercise. 

entertainment, or athletic facilitiesl: 
(81 Detached buildings or structures: or 
(91 Presence or condition of buried fuel storage tanks. 

Authority G.S. 143-151. 49(a)(13). 

.1108 ROOFING 

(at The home inspector shall observe: 
( 11 Roof coverings: 



(21 Roof drainage systems: 

(31 Flashings: 

£4} Skylights, chimneys, and roof penetrations: and 

(51 Signs of leaks or abnormal condensation on 

building components, 
(bl The home inspector shall: 
(It Describe the type of roof covering materials: and 
(21 Report the methods used to observe the roofing. 
(cl The home inspector is not required to: 
(11 Walk on the roofing: or 
(21 Observe attached accessories including but not 

limited to solar systems, antennae, and lightning 

arrestors. 

Authority G.S. 143-151. 49(a)(13). 

.1109 PLUMBING 

(at The home inspector shall observe: 
(It Interior water supply and distribution system. 

including: piping materials, supports, and 

insulation: fixtures and faucets: functional flow: 

leaks: and cross connections; 
(21 Interior drain, waste, and vent system, including: 

traps: drain, waste, and vent piping: piping 

supports and pipe insulation: leaks: and functional 

drainage: 
(31 Hot water systems including: water heating 

equipment: normal operating controls: automatic 

safety controls: and chimneys, flues, and vents: 
(41 Fuel storag e and distribution systems including: 

interior fuel storag e equipment, supply piping . 

venting, and supports: leaks: and 
(51 Sump pumps, 
(bl The home inspector shall describe: 
(11 Water supply and distribution piping materials: 

(2) Drain, waste, and vent piping materials: 
(31 Water heating equipment: and 

(4) Location of main water supply shutoff device. 
(cl The home inspector shall operate all plumbing fixtures- 
including their faucets and all exterior faucets attached to the 
house, except where the flow end of the faucet is connected 
to an appliance. 

(dl The home inspector is not required to: 
(11 State the effectiveness of anti-siphon devices: 
(21 Determine whether water supply and waste 
disposal systems are public or private: 

(3) Operate automatic safety controls: 

(41 Operate any valve except water closet flush valves, 
fixture faucets, and hose faucets: 

(51 Observe: 

(At Water conditioning systems: 

(B) Fire and lawn sprinkler systems: 

(Cl On-site water supply quantity and quality: 

(Dl On-site waste disposal systems: 

(El Foundation irrigation systems: 

(Ft Spas, except as to functional flow and 



1421 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



PROPOSED RULES 



m 



ctional drainage; 
{G} Swimming pools: 
(HI Solar water heating equipment: or 
Observe the system for proper sizing, design, or. 
use of proper materials. 



Authority G.S. 143-151. 49(a)(13). 

.1110 ELECTRICAL 

(a) The home inspector shall observe: 
(11 Service entrance conductors: 
(21 Service equipment, grounding equipment, main 
overcurrent device, and main and distribution 
panels: 
(31 Amperage and voltage ratings of the service: 
(41 Branch circuit conductors, their overcurrent 
devices, and the compatibility of their ampacities 
and voltages: 
(51 The operation of a representative number of 
installed ceiling fans, lighting fixtures, switches 
and receptacles located inside the house, garage, 
and on the dwelling's exterior walls: 
(61 The polarity and grounding of all receptacles 
within six feet of interior plumbing fixtures, and 
all receptacles in the g ara ge or carport, and oq the 
exterior of inspected structures: 
(71 The operation of ground fault circuit interrupters: 

and 
(81 Smoke detectors, 
(bl The home inspector shall describe: 
(11 Service amperage and voltage: 
(21 Service entry conductor materials: 
(31 Service type as being overhead or underground: 

and 
(41 Location of main and distribution panels. 
(cl The home inspector shall report any observed 
aluminum branch circuit wiring. 

(dl The home inspector shall report on presence or 

absence of smoke detectors, and operate their test function. 

if accessible, except when detectors are part of a central 

system. 

(el The home inspector is not required to: 

(11 Insert any tool, probe, or testing device inside the 

panels: 
(21 Test or operate any overcurrent device except 

ground fault circuit interrupters: 
(31 Dismantle any electrical device or control other 
than to remove the covers of the main and 
auxiliary distribution panels: or 
(41 Observe: 

(A1 Low voltage systems: 

(Bl Security system devices, heat detectors, or 

carbon monoxide detectors: 
(CI Telephone, security, cable TV. intercoms. 
or other ancillary wiring thai is Q2i a. part of 
the primary electrical distribution system: or 



(Dl Built-in vacuum equipment. 
Authority G.S. 143-151. 49(a)(13). 

.1111 HEATING 

(al The home inspector shall observe permanently installed 
heating systems including: 
(11 Heating equipment: 
(21 Normal operating controls: 
Qi Automatic safety controls: 

£4} Chimneys, flues, and vents, where readily visible: 
(51 Solid fuel heating devices: 

(61 Heat distribution systems including fans, pumps. 
ducts and piping, wjth supports, insulation, air 
Filters, registers, radiators, fan coil units, 
convectors: and 
(71 The presence of an installed heat source m each 
room. 
(bl The home inspector shall describe: 
(11 Energy source: and 

(21 Heating equipment and distribution type. 
(cl The home inspector shall operate the systems using 
normal operating controls. 

(dl The home inspector shall open readily openable access 
panels provided by the manufacturer or installer for routine 
homeowner maintenance. 

(el The home inspector is not required to: 
(11 Operate heating systems when weather conditions 
or other circumstances may cause equipment 
damage: 
(21 Operate automatic safety controls: 
(31 I gnite or extinguish solid fuel fires: or 
(41 Observe: 

(Al The interior of flues: 
(Bl Fireplace insert flue connections: 
(Cl Humidifiers: 
(Dl Electronic air filters: or 
(El The uniformity or adequacy of heat supply 
to the various rooms. 

Authority G.S. 143-151. 49(a)(13). 

. 1 1 12 CENTR AL AIR CONDITIONING 

(al The home inspector shall observe: 
(11 Central air conditioning systems including : 

(Al Cooling and air handling equipment: and 
(Bl Normal operating controls. 
(21 Distribution systems including : 

(Al Fans, pumps, ducts and piping , with 
associated supports, dampers, insulation, air 
filters, re gisters, fan-coil units: and 
(Bl The presence of an installed cooling source 
in each room, 
(bl The home inspector shall describe: 
(11 Energy sources: and 
(21 Cooling equipment type. 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1422 



PROPOSED RULES 



(cl The home inspector shall operate the systems using 
normal operating controls. 

(d) The home inspector shall open readily openable access 
panels provided by the manufacturer or installer for routine 
homeowner maintenance, 
£e) The home inspector is not required toi 
Cn Operate cooling systems when weather conditions 
or other circumstances may cause e quipment 
damage; 

(2) Observe non-central air conditioners: or 

(3) Observe the uniformity or adequacy of cool-air 
supply to the various rooms. 

Authority G.S. 143-151. 49(a)(13). 

.1113 INTERIORS 

(a) The home inspector shall observe: 
(1) Walls, ceiling, and floors: 
(21 Steps, stairways, balconies, and railings: 
(3) Counters and a representative number of cabinets: 

and 
(41 A representative number of doors and windows, 
(bl The home inspector shall: 
(1) Operate a representative number of windows and 

interior doors: and 
(2} Report signs of abnormal or harmful water 

penetration into the building or signs of abnormal 

or harmful condensation on building components. 
(c) The home inspector is not required to observe: 
(11 Paint, wallpaper, and other finish treatments on the 

interior walls, ceilings, and floors: 
(21 Carpeting: or 
(3) Draperies, blinds, or other window treatments. 

Authority G.S. 143-151. 49(a)(13). 

.1114 INSULATION AND VENTILATION 

(a) The home inspector shall observe: 



unfinished 



£41 



(1) Insulation and vapor retarders in 

spaces: 

Ventilation of attics and foundation areas; 

Kitchen, bathroom, and laundry venting systems; 

and 

The operation of any readily accessible attic 

ventilation fan, and, when temperature permits, the 

operation of any readily accessible thermostatic 

control. 
£b) The home inspector shall describe: 
(1) Insulation in unfinished spaces; and 
(21 Absence of insulation in unfinished space at 

conditioned surfaces. 
(cl The home inspector is not required to report on: 

(1) Concealed insulation and vapor retarders: or 

(2) Venting equipment that is integral with household 
appliances. 



Authority G.S. 143-151. 49(a)(13). 

.1115 BUILT-IN KITCHEN APPLIANCES 

(al The home inspector shall observe and operate the basic 
functions of the following kitchen appliances: 

(11 Permanently installed dishwasher, through its 

normal cycle: 
(21 Range, cook top, and permanently installed oven: 
(31 Trash compactor: 
(41 Garbage disposal: 

(51 Ventilation equipment or range hood: and 
(61 Permanently installed microwave oven, 
(bl The home inspector is not required to observe: 
(11 Clocks, timers, self-cleaning oven function, or 
thermostats for calibration or automatic operation: 
(2) Non built-in a ppliances: or 
(31 Refrigeration units, 
(cl The home inspector is not required to operate: 
(11 Appliances in use: or. 

(21 Any appliance that is shut down or otherwise 
inoperable. 

Authority G.S. 143-151. 49(a)(13). 

.1116 CODE OF ETHICS 

(al Licensees shall discharge their duties with fidelity to 
the public, their clients, and with fairness and impartiality to 

alL 

fbl Opinions expressed by licensees shall only be based on 
their education, experience, and honest convictions. 

(cl A licensee shall not disclose any information about the 
results of an inspection without the a pproval of the client for 
whom the inspection was performed, or the client's 
designated representative. 

(d) N_o licensee shall accept compensation or any other 
consideration from more than one interested party for the 
same service without the consent of all interested parties. 

(el No licensee shall accept or offer commissions or 
allowances, directly or indirectly, from other parties dealing 
with the client In connection with work for which the 
licensee is responsible. 

(f) No licensee shall express, within the context of an 
ins pection, an appraisal or opinion of the market value of the 
inspected property. 

(gl Before the execution of a contract to perform a home 
inspection, a licensee shall disclose to the client any interest 
in a business that may affect the client. No licensee shall 
allow his or her interest In any business to affect the qualify 
or results of the inspection work that the licensee may be 
called upon to perform. 

(hi Licensees shall not engage in false or misleading 
advertising or otherwise misrepresent any matters to the 
public. 

Authority G.S. 143-151. 49(a)(13). 



1423 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



PROPOSED RULES 



SECTION .1200 - DISCIPLINARY ACTIONS 

.1201 DEFINITIONS 

The following definitions are used in this Section: 
(11 The definitions in G.S. 143-151.45 are 
incorporated into this Section by reference. 
"Associate home inspector" is included where 
reference is made to "home inspector" or 
"licensee". 

(2) "File or filing" means to place the paper or item to 
be filed into the care and custody of the presiding 
officer, and acceptance thereof by him, except that 
the Board may permit the papers to be filed with 
the Board, in which event the Board shall note 
thereon the filing date. All documents filed with 
the presiding officer or the Board, except exhibits, 
shall be duplicate in letter size 8 1/2" by 11". 

(3) "Party" means the Board, the licensee, or an 
intervenor who qualifies under G.S. 150B-38(f). 
"Party" does not include a complainant unless the 
complainant is allowed to intervene under G.S. 
150B-38(fl. 

(41 "Service or serve" means personal delivery or. 
unless otherwise provided by law or rule, delivery 
by first class United States Postal Service mail or 
a licensed overnight express mail service, 
addressed to the person to be served at his or her 
last known address. A Certificate of Service by 
the person making the service shall be appended to 
every document requiring service under these 
Rules. Service by mail or licensed overnight 
express mail is complete upon addressing, 
enveloping, and placing the item to be served, in 
an official depository of the United States Postal 
Service or delivering the item to an agent of an 
overnight express mail service. 

Authority G.S. 143-151. 49(a)(13); 150B-38(h). 

.1202 COMPLAINTS 

(a) Anyone who believes that a licensee is or has been 
engaged in any conduct set out In G.S. 143-15 1.56(a1 may 
file a written complaint a gainst that licensee. The Board 
may, upon its own motion, initiate an investigation of a 
licensee. 

(bl An information memo containing instructions for 
filing the complaint shall be mailed to anyone requesting 
complaint information from the Board. A copy of the 
Board's statutes and rules shall also be sent. 

(cl The complaint shall specifically identify the licensee 
and describe the conduct complained about. 

(dl Supporting information shall be included to justify the 
complaint. Supporting information shall refer to specific 
violations of the Board's rules or of the General Statutes. If 
the complaint involves items included in the Standards of 
Practice that the licensee did not observe, a list of those items 



must be submitted with the complaint. Such information may 
be provided by the complainant, an architect, professional 
engineer, licensed contractor, another licensed inspector, or 
other person with knowledge of the Standards of Practice. A 
copy of the contract agreement, the inspection report, and 
any reports made by other consultants shall be. included with 
the complaint. 

(ej The complaint shall be m writing, signed by. the 
complainant, and dated. The complaint shall include the 
complainant's mailing address and a daytime phone number 
at which the complainant may be reached. The street address 
of the structure must be included. 

£f) The Board shall not consider services that are under the 
jurisdiction of other regulatory agencies or licensing boards. 
such as. termite inspections, a ppraisals, services rendered by 
licensed architects, engineers, or general contractors, unless 
the persons rendering those services hold themselves out to 
be home inspectors. 

(gl The Board has no jurisdiction over persons who make 
specialized inspections as part of their repair or maintenance 
businesses, such as. roofing repair contractors, chimney 
sweeps, duct cleaning, and interior environment specialists. 

Authority G.S. 143-151. 49(a)(13); 150B-38(h). 

.1203 BOARD STAFF 

The Engineering Division of the Department of Insurance 
shall not conduct any building, electrical, mechanical, or 
plumbing inspection of any structure that is the subject of a 
complaint against an inspector. The En gineering Division 
shall verify whether the allegations listed in complaints are 
violations of the Standards of Practice. Code of Ethics, or of 
the General Statutes. 

Authority G.S. 143-151. 49(a)(13); 150B-38(h). 

.1204 INVESTIGATION 

(a) On receipt of a complaint conforming to this Section, 
the Engineering Division shall make an investigation of the 
charg es and issue a report. The report shall address each 
item alleg ed to be a violation of these Rules or of the General 
Statutes. 

(bl A copy of the complaint shall be mailed to the home 
inspector. The inspector shall submit a written response to 
the En gineering Division within two weeks after receipt of 
the copy of the complaint. 

(cl A copy of the report shall be mailed to the complainant 
and to the inspector. The report shall be presented to the 
Board at its next re gularly scheduled meeting . 

(dl The report shall state that the complaint either has or 
lacks sufficient evidence to support the allegations in the 
complaint. 

(el If the report states that the allegations lack sufficient 
evidence, the Engineering Division shall: 

(11 Advise the complainant in writing that the 
evidence was insufficient to support the allegations 



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NORTH CAROLINA REGISTER 



January 2, 1997 



1424 



PROPOSED RULES 



in the complaint. 
£2} A^ise the complainant that the complaint may be 
reviewed by a committee of Board members 
appointed by. the Chairman to determine whether 
the finding of the Engineering Division is correct. 

(3) Advise the complainant that the complainant must 
make a written request for the review and must 
state in the request the reasons why the 
complainant is of the opinion the Engineering 
Division's deter mination is incorrect. 

(4) If the complainant makes a written request for 
review by a committee of Board members, the 
chairman shall appoint the committee. The 
committee shall review the report and the 
complainant's documentation. If the committee 
finds that the allegations are unsupported by the 
evidence, the Engineering Division shall advise the 
complainant in writing that the committee has 
concurred with the Engineering Division's 
conclusion that the complaint lacks sufficient 
evidence to support the allegations in the 
complaint. 

Authority G.S. 143-151. 49(a)(13); 150B-38(h). 

.1205 DISCIPLINARY HEARING 

If there are findings in the report or by the review 
committee that there is sufficient evidence to support the 
allegations in the complaint, the Board shall fix a time and 
place for a disciplinary hearing and give notice to the 
licensee. The disciplinary hearing shall be held in 
accordance with G.S. 150B. Article 3A and this Section. 

Authority G.S. 143-151. 49(a)(13); 150B-38(h). 

.1206 PRESIDING OFFICER 

In all contested case hearings before the Board, the 
Chairman of the Board shall serve as presiding officer. In 
the absence of the Chairman, the Vice-Chairman shall serve 
as presiding officer, or a presiding officer shall be elected by 
the Board. 

Authority G.S. 143-151. 49(a)(13); 150B-38(h). 

.1207 PREHEARING CONFERENCE 

Upon the request of any party or upon the presiding 
officer's own motion, the presiding officer may hold a 
prehearing conference before a contested case hearing. A 
prehearing conference on the simplification of issues, 
amendments, stipulations, or other matters may be entered on 
the record or may be made the subject of an order by the 
presiding officer. Venue for purposes of a prehearing 
conference shall be determined in accordance with G.S. 
150B-38(e). 



.1208 CONSENT AGREEMENT 

(a) The Board's staff and the home inspector may attempt 
to resolve the complaint by means of a consent agreement- 
Such consent agreement may impose upon the licensee a 
penalty, or penalties, including the following: requiring the 
licensee to take training or educational courses, probation, 
letter of reprimand, suspension of license, or revocation of 
license. 

(b) The proposed consent agreement shall then be 
presented to the Board at the next meeting. The Board can 
either accept the consent agreement as written, modify the 
consent agreement and send it back to the licensee for 
agreement, or reject the consent agreement. 

Authority G.S. 143-151. 49(a)(13); 150B-38(h). 

. 1209 FINAL BOARD ORDER 

(a) After the close of a contested case hearing, the Board 
shall meet and determine if the licensee engaged in. the 
conduct alleged and the appropriate penalty, including 
requiring the licensee to take training or education courses, 
probation, letter of reprimand, or. license suspension or. 
revocation. 

(b) If a final Board order is to suspend, revoke, place on 
probation, or. refuse to issue a. certificate, the order shall set 
forth any conditions that must be met in order to remove the 
suspension or probation, to reissue the license, or to issue the 
license. 

(c) Contested case hearings shall be recorded either by a 
recording system or a professional court reporter using 
stenomask or stenotype. 

(d) Transcript costs incurred by the Board shall be paid by 
the party or parties requesting a transcript. Any other costs 
incurred by the Board when using a professional court 
reporter shall be paid by the requesting party or parties. 

£e) A 24-hour cancellation notice is required in all cases. 
The party or parties responsible for the cancellation shall be 
responsible for any cancellation fees charg ed by a 
professional court reporter. 

(fj Transcripts of proceeding s during which oral evidence 
is presented shall be made only upon request of a party. 
Transcript costs shall include the cost of an ori ginal for the 
Board. An attorney requesting a transcript on behalf of a 
party is a guarantor of payment of the cost. Cost shall be 
determined under supervision of the presiding officer who. 
in cases deemed to be appropriate by him, may require an 
advance security deposit to cover the prospective cost. The 
security deposit shall be applied to the actual cost and any 
excess shall be returned to the party that submitted it 

(gl Copies of tapes are available upon written request at 
cost of reproduction and postag e. 

(h) Copies of Board hearings tapes or non-Board certified 
transcripts therefrom are not part of the official record. 



Authority G.S. 143-151. 49(a)(13); 150B-38(h). 



Authority G.S. 143-151. 49(a)(13); 150B-38(h). 



1425 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



PROPOSED RULES 



*************** 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the Department of Insurance intends to 
amend rules cited as 11 NCAC 10 . 0602 - . 0603; and adopt 
rule cited as 11 NCAC 10 .0606. Notice of Rule-making 
Proceedings was published in the Register on November 1, 
1996. 

Proposed Effective Date: July 1, 1998 

A Public Hearing will be conducted at 10:30 a.m. on 
January 21, 1997 at N. C. Department of Insurance, 430 N. 
Salisbury Street, 3 rd Floor Hearing Room, Dobbs Building, 
Raleigh, NC 27611. 

Reason for Proposed Action: 

11 NCAC 10 .0602 - .0603 - To amend existing rules to 

comport with new law. 

11 NCAC 10 .0606 - To adapt rule to comport with new law. 

Comment Procedures: Written comments may be sent to 
Charles Swindell, Department of Insurance, PO Box 26387, 
Raleigh, NC 27611. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. These Rules do 
not have a substantial economic impact of at least five 
million dollars ($5,000,000) in a 12-month period. 

CHAPTER 10 - PROPERTY AND CASUALTY 
DIVISION 

SECTION .0600 - CONSENT TO RATE 

.0602 CONSENT TO RATE PROCEDURES: RATE 
BUREAU COVERAGES 

(a) An initial (first time) application to effect consent to 
rate on a specific risk of coverage subject to Article 36 of 
General Statute Chapter 58, in excess of the rate promulgated 
by the North Carolina Rate Bureau, shall includ e , but not b e 
limited tu, contain the following: 

(1) a description of the insurance proposed, including 
primary and excess limits, the amount of coverage, 
the property insured, the deductibl e deductible. 
and any other factor used for rating, where 
applicable; 

(2) the rate and premium that would be charged 
without application of consent to rate; 

(3) the proposed rate and premium; 

(4) the percent increase. The rate to be charged wtH 
shall be presumed reasonable if it does not exceed 
250 percent of the rate that would be charged 
without application of consent to rate. Any 
proposed rate in excess of 250 percent must be 



explained fully and is subject to review and 
approval of the Commissioner couunissiou e r 
pursuant to G.S. 58-36-30(b). (This is not 
required for and does not apply to nonfleet private 
passenger motor vehicle physical damage 
insurance); 

(5) a statement that the rate charged does not exceed 
the rate that would be applicable if the applicant 
had been charged 550 percent of the rate with no 
Safe Driver Incentive Plan points. Any proposed 
rate in excess of 550 percent must be explained 
fully, submitted individually, and is subject to 
review and approval of the Com missioner 
commissioner pursuant to G.S. 58-36-30(b). (This 
is required for nonfleet private passenger motor 
vehicle physical damage insurance only); 

(6) the names and addresses of the insurer, the writing 
agent, and the insured; 

(7) the effective date of the proposed rate; 

(8) the policy period; 

(9) the policy number; and 

(f6) th e icasun fui th e surcharge may be r e quir e d; and 

(10) (-r-r) a letter signed by the insured acknowledging 
and consenting to the proposed rate, lat e (nut 
required to b e submitted tu the cuiiiniissiun e i fui 
nonfleet private passeugei mutui vehicle physical 
damage insurance). If coverage for the specific 
risk written on consent to rate is available through 
a residual market (FAIR Plan, Beach Plan, North 
Carolina Reinsurance Facility, North Carolina 
Workers Compensation Insurance Plan), a 
statement signed by the insured acknowledging 
that fact must also be submitted ? executed. 
All such applicatiuus must be furwaided diiectly tu the 
conuujssiun e i fur approval. 

(b) Such applications involving nun-standard autuuiubil e 
physical damage insuranc e may be lecuided uu a fuiui 
appiuv e d by di e cumiuissiun e i and must be forwarded to t h e 
commission e r befor e the expiration of the 9 0-day period in 
Paiagiaph (c) uf this Rul e . A letter signed by each insured 
acknowledging and consenting to the proposed rate shall be 
retained in the insurer's office and be made available to the 
commission e r Commissioner upon request. A s e parat e l e tt e r 
with di e iusui e d ' s signa t ur e mus t be obtained for each pulicy 



val of cons e nt to rate 



period. 

fc) — All applicatiuus fui approval o t cons e nt to n 
rec e iv e d moi e than 9 days aftei th e effectiv e date uf the 
piupused rates will b e disappruved and cunstiu e d as effective 
at the lat e s that wuuld b e chaiged withou t applica t ion of 
cunseut tu idt e uu the effectiv e dat e . 

Authority G.S. 58-2-40(1); 58-36-30(b). 

.0603 CONSENT TO RATE PROCEDURES: 
COMMERCIAL COVERAGES 

(a) An initial (first time) application to effect consent to 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1426 



PROPOSED RULES 



rate on a specific risk of coverage subject to Article 40 of 
General Statute Chapter 58, in excess of the rate promulgated 
by a licensed rating organization or filed by a company on its 
own behalf shall im-luilc, but uut be limited t o, contain the 
following: 

(1) a description of the insurance proposed, including 
primary and excess limits, the amount of coverage, 
the property insured, the d e ductible deductible. 
and any other factor used for rating, where 
applicable; 

(2) the rate and premium that would be charged 
without application of consent to rate; 

(3) the proposed rate and premium; 

(4) the percent increase. The rate to be charged will 
be presumed reasonable if it does not exceed 250 
percent of the rate that would be charged without 
application of consent to rate. Any proposed rate 
in excess of 250 percent must be explained fully 
and is subject to review and approval by the 
commissio ner Commissioner pursuant to G.S. 58- 
40-30(c); 

(5) the names and addresses of the insurer, the writing 
agent, and the insured; 

(6) the effective date of the proposed rate; 

(7) the policy period; 

(8) the policy number; and 

(9) th e icasoii fui th e suichaige, and 

(9) ftQ) a letter signed by the insured acknowledging 
and consenting to the proposed rate, (not l e quiied 
to — be — submitted — to — the — crrrnmrssrorrci — for 
automobile — physical — damag e — iusuianc e ). If 
coverage for the specific risk written on consent to 
rate is available through a residual market (FAIR 
Plan, Beach Plan, North Carolina Reinsurance 
Facility, North Carolina Workers Compensation 
Insurance Plan), a statement signed by the insured 
acknowledging that fact must also be submitted ? 
executed. 

All such applications must b e fuiwaided diiectly tu th e 
commission e r. 

(b) Such applications invulviug non-standard au t omobil e 
physical damag e iiisuiance may be l e coided uii a form 
appioi e d by th e I 



.0606 CONSENT TO RATE PROCEDURES 

(a) If a policy for which the insured had consented to pay 
a higher premium rate is reinstated after a lapse, the insurer 
does not have to obtain a signed statement from the insured 
under this Section for the reinstatement. 

fb) All records generated under G.S. 58-36-30fb1 or G.S. 
58-40-30(c) and under this Section shall be maintained in 
accordance with 11 NCAC 19 .0002 and H NCAC 12 
.0007. 

£c) After a signed application is obtained by an insurer 
under this Section for a policy, all subsequent changes m the 
policy are endorsements for the purposes of G.S. 58-36-30fb1 
or G.S. 58-40-30(c). 

(d) If a particular kind of coverage is added to a policy by 
endorsement during the term of the policy and the added 
coverage is written at a higher rate under G.S. 58-36-30fb') 
or G.S. 58-40-30^1 and under this Section, the insurer shall 
obtain the signature of the insured under Rules .0602 and 
.0603 of this Section no later than the next renewal of the 
policy. 

£e} If an insured consents to pay a higher premium rate 
under G.S. 58-36-300?) or G.S. 58-40-30(^1 and under this 
Section and consent to rate coverage is subsequently 
terminated, if the insured and insurer enter into another 
agreement under G.S. 58-36-30fb1 or G.S. 58-40-30(c) and 
under this Section, the insurer does not have to ohtain the 
signature of the insured under Rules .0602 and .0603 of this 
Section unless three years have elapsed since the termination 
of the coverage. 

Authority G.S. 58-2-40(1); 58-36-30(b); 58-40-30(c). 



TITLE 15A - DEPARTMENT OF ENVIRONMENT, 
HEALTH, AND NATURAL RESOURCES 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Wildlife Commission 
intends to amend rules cited as 15A NCAC 10F . 031 7, . 0339. 
Notice of Rule-making Proceedings was published in the 
Register on October 1 , 1996. 



• commission e r anu must B e t oiwaiu e u to tli e 
coiniiiissiuuei b e foi e the e xpiration of th e 9 0-day p e riod 
specified m Paragraph (c) of this Rule. A letter signed by 
each insured acknowledging and consenting to the proposed 
rate shall be retained in the insurer's office and be made 
available to the commissioner upon request. 

(c) All applications for cons e n t t o rat e r e c e iv e d more t han 
9 days after the e ff e ctiv e dat e of th e pioposed rat e s will b e 



and must be forwarded to the Proposed Effective Date: July 1, 1998 



: ff e ctive at the rates that would be 



icjec te u aim constru e d as e ff e ctive at tii e rates mat wou 
chaig e d without application of consent to rate on the effective 
date. 

Authority G.S. 58-2-40(1); 58-40-30(c). 



A Public Hearing will be conducted at 10:00 a.m. on 
January 22, 1997 at Archdale Building, Wildlife Conference 
Room, 512 N. Salisbury Street, Raleigh, NC 27604. 

Reason for Proposed Action: To regulate boat speed in 
congested area. 

Comment Procedures: Interested persons may present their 
\iews either orally or in writing at the hearing. In addition, 
the record of hearing will be open for receipt of written 
comments from January 2, 1997 - February 3, 1997. Such 
written comments must be delivered or mailed to NC Wildlife 



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11:19 



PROPOSED RULES 



Resources Commission, 512 N. Salisbury Street, Raleigh, NC 
27604-1188. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. These Rules do 
not have a substantial economic impact of at least five 
million dollars ($5,000,000) in a 12-month period. 

CHAPTER 10 - WILDLIFE RESOURCES AND 
WATER SAFETY 

SUBCHAPTER 10F - MOTORBOATS AND WATER 
SAFETY 

SECTION .0300 - LOCAL WATER SAFETY 
REGULATIONS 

.0317 STANLY COUNTY 

(a) Regulated Areas. This Rule applies to the following 
waters and portions of waters: 

(1) that portion of Narrows Reservoir (Badin Lake) 
which lies within the boundaries of Stanly Cuun t y, 
County: 

(2) that portion of Lake Tillery which lies within the 
boundaries of Stanly Cuuu t y. County: 

(3) Turner Beach Cove on Lake Tillery as delineated 
by appropriate markers. 

(b) Speed Limit Near Ramps. No person shall operate a 
vessel at greater than no-wake speed within 50 yards of any 
public boat launching ramp while on the waters of a regulated 
area described in Paragraph (a) of this Rule. 

(c) Restricted Swimming Areas. No person operating or 
responsible for the operation of a vessel shall permit it to 
enter any marked public swimming area established with the 
approval of the Executive Director, or his representative, on 
the waters of a regulated area described in Paragraph (a) of 
this Rule. 

(d) Speed Limit in Specific Zones. No person shall 
operate a vessel at greater than no-wake speed within 50 
yards of the following marked zone located on any regulated 
area described in Paragraph (a) of this Rule: 

(1) Mountain Creek Cove, Lake Tillery. 

(e) Placement and Maintenance of Markers. The Board of 
Commissioners of Stanly County is hereby designated a 
suitable agency for placement and maintenance of the 
markers hereby authorized, subject to the approval of the 
United States Coast Guard and the United States Army Corps 
of Engineers. With regard to marking the regulated areas 
described in Paragraph (a) of this Rule, supplementary 
standards as set forth in Rule .0301(g)(1) to (8) of this 
Section shall apply. 

Authority G.S. 75A-3; 75A-15. 

.0339 MCDOWELL COUNTY 

(a) Regulated Areas. This Rule applies to the following 



waters located on Lake James in McDowell County: 

(1) that area adjacent to the shoreline of the McDowell 
Wildlife Club property; 

(2) that area adjacent to the shoreline of the Marion 
Moose Club property; 

(3) that area known as Morgan Cove; 

(4) that area within 50 yards of the shoreline at the 
New Manna Baptist Youth Camp; 

(5) that area within 50 yards of the shoreline at 
Burnett's Landing; 

(6) the cove area adjacent to the State Park swimming 
area; 

(7) the cove area adjacent to the State Park picnic area 
and dock; 

(8) that area within 50 yards of camping areas in the 
Lake James State Park as designated by the 
appropriate markers; 

(9) that area within 50 yards of the boat launching 
ramp at the Marion Lake Club; 

(10) that area within 50 yards in either direction from 
the marina docks in Plantation Point Cove; 

(11) that designated area of Goodman's Landing Cove 
within 50 yards of the swimming area and boat 
docks of Goodman's Canipgiuuud. Campground: 

(12) that area beginning at the rock shoals located at 
Deerfield Campground downstream for a distance 
of approximately 200 yards as delineated by 
appropriate markers. 

(b) Speed Limit. No person shall operate any motorboat 
or vessel at greater than no-wake speed within any of the 
regulated areas described in Paragraph (a) of this Rule. 

(c) Restricted Swimming Areas. No person operating or 
responsible for the operation of any vessel, surfboard or 
waterskis shall permit the same to enter any marked 
swimming area located on the regulated area. 

(d) Placement and Maintenance of Markers. The Board of 
Commissioners of McDowell County is designated a suitable 
agency for placement and maintenance of the markers 
implementing this Rule. 

Authority G.S. 75A-3; 75A-15. 



TITLE 21 - OCCUPATIONAL LICENSING BOARDS 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Board of Nursing 
intends to amend rule cited as 21 NCAC 36 . 0320. Notice of 
Rule-making Proceedings was published in the Register on 
October 15, 1996. 

Proposed Effective Date: August 1, 1998 

A Public Hearing will be conducted at 1:30 p.m. on January 
23, 1997 at the Embassy Suites Hotel, 4700 Creedmoor 
Road, Raleigh, NC. 



11:19 



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January 2, 1997 



1428 



PROPOSED RULES 



Reason for Proposed Action: This action is based on the 
need to correct an omission which allowed for immediate 
dismissal of nursing students who present behavior which 
conflicts with safety essential to nursing practice. 

Comment Procedures: Any person wishing to present oral 
testimony relevant to proposed rule may register at the door 
before the hearing begins and present hearing officer with a 
written copy of testimony. Written comments concerning this 
amendment must be submitted by February 3, 1997 to: North 
Carolina Board of Nursing, PO Box 2129, Raleigh, NC 
27602: Attn: Jean H. Stanley, APA Coordinator. 

Fiscal Note: This Rule does not affect the expenditures or 
revenues of state or local government funds. This Rule does 
not have a substantial economic impact of at least five 
million dollars ($5,000,000) in a 12-month period. 

CHAPTER 36 - BOARD OF NURSING 

SECTION .0300 - APPROVAL OF NURSING 
PROGRAMS 

.0320 STUDENTS 

(a) Students in nursing programs shall meet requirements 
established by the controlling institution. Additional 
requirements may be stipulated for nursing students because 
of the nature and legal responsibilities of nursing education 
and nursing practice. 

(b) Admission requirements and practices shall be clearly 
stated and published by the controlling institution and shall 
include assessment of: 

(1) record of high school graduation, high-school 
equivalent, or earned credits from an approved 
post-secondary institution; and 

(2) achievement potential through the use of previous 
academic records and pre-entrance examination 
cut-off scores that are consistent with curriculum 
demands and scholastic expectations; and 

(3) physical and emotional health that would provide 
evidence that is indicative of the applicant's ability 
to provide safe nursing care to the public. 

Initial admission may be based on Subparagraphs (b)(1) and 
(2) of this Rule and any other institutional requirements; 
however, final admission shall be contingent upon 
Subparagraph (b)(3) of this Rule. 

(c) The number of students enrolled in nursing courses 
shall not exceed the maximum number approved by the Board 
as defined in 21 NCAC 36.0302 and 21 NCAC 36.0321. 

(d) Publish e d puliiies and practices shall exist tha t piuvid e 
for — id e ntification and dismissal of s t udents whu pies e iit 



rfhrt 



physical, e inutiunal, or behavioral piubleins which contact 
with saf e ty e ss e n t ials tu musing piaitii e and do no t lespund 
t o appropriate treatment or couns e ling with a icasonable 
p e iiud of t ime. 

(d) Published policies and practices shall exist that provide 



for identification and dismissal of students who: 

tl) present physical or emotional problems which 
conflict with safety essential to nursing practice 
and do not respond to appropriate treatment or 
counseling within a reasonable period of time. 
t2) demonstrate behavior which conflicts with safety 
essential to nursing practice. 

(e) Criteria for progression through a program shall 
clearly define the level of performance required to pass each 
course in the curriculum, the level at which failure of the 
course is determined, and the level of performance in 
prerequisite courses required for progression to subsequent 
courses or levels. These criteria shall apply to both 
theoretical and clinical components of nursing courses. 

(f) Program objectives shall be consistent with 
components of basic nursing practice as defmed for the 
licensure level. 

(g) Implementation of the nursing program shall result in 
no less than an annual 75 percent pass rate on first writing of 
the licensure examination for the calendar year ending 
December 31. 

(h) Policies for transfer of credits or for admission to 
advanced placement shall be stated and must provide that: 

(1) general admission, progression, and graduation 
requirements of the nursing program shall apply to 
the applicant; and 

(2) the nursing program shall determine the total 
number of nursing courses or credits allowed for 
advancement placement. 

Authority G.S. 90-171. 23(b)(8); 90-171.38. 



TITLE 25 - OFFICE OF STATE PERSONNEL 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the State Personnel Commission intends 
to amend rules cited as 25 NCAC ID .2501, .2503 - .2505, 
.2507 -.2509, .2511, .2513 - .2514; and adopt rule cited as 
25 NCAC ID .2516. Notice of Rule-making Proceedings was 
published in the Register on October 1 , 1996. 

Proposed Effective Date: August 1, 1998 

A Public Hearing will be conducted at 2:00 p.m. on 
February 5, 1997 at Office of State Personnel, 116 West 
Jones St. , 3 rd Floor Conference Room 3106 T-2, Raleigh, NC 
27603. 

Reason for Proposed Action: These actions are proposed 
in order to provide clarification to state agencies in 
administering the legislative salary increases enacted by the 
General Assembly in HB 53 in the 1995 Session. 

Comment Procedures: Interested persons may present 
statements either orally or in writing at the Public Hearing 



1429 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



PROPOSED RULES 



or in writing prior to the hearing by mail addressed to: 
Peggy Oliver, Office of State Personnel, 116 West Jones St. , 
Raleigh, NC 27603. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. These Rules do 
not have a substantial economic impact of at least five 
million dollars ($5,000,000) in a 12-month period. 

CHAPTER 1 - OFFICE OF STATE PERSONNEL 

SUBCHAPTER ID - COMPENSATION 

SECTION .2500 - COMPREHENSIVE 
COMPENSATION SYSTEM 



work cycle after: 

(1) receiving a permanent appointment, 

(2) completing a work cycle, and 

(3) receiving a summary rating that is at or above level 
three. 

(d) An employee who is on leave without pay on the date 
career growth recognition awards are granted shall receive 
the increase on the date of reinstatement if the work cycle has 
been completed and a summary rating given. If the work 
cycle and summary rating have not been completed, the 
employee shall receive the career growth recognition award 
at the time when both are completed. 

(e) An employee who separates from State service prior to 
the effective date career growth increases are effective is not 
eligible for the increase. 



.2501 CAREER GROWTH RECOGNITION AWARD 

Career Growth Recognition Award is an annual salary 
increase awarded to an employee whose final overall 
summary rating is at or above level three of the rating scale 
and who does not have an unresolved final wiitt e u warning 
disciplinary procedure, that involves persunal ujudui t . This 
is the primary method by which an employee progresses 
through the salary range. In the event that an employee does 
not receive a cost-of-living increase, the salary may fall 
below the minimum of the salary range. This factor alone 
shall not be justification for any type of salary adjustment. 

Authority G.S. 126-7. 

.2503 EMPLOYEES ELIGIBLE FOR CAREER 
GROWTH RECOGNITION AWARD 

(a) An employee having a permanent or time-limited full- 
time or part-time (half-time or more) appointment whose 
salary is below the maximum of the range and whose overall 
summary rating is at or above level three after completing a 
work cycle based on a work plan shall receive a career 
growth recognition award unless the employee has an 
unresolved final wiitteu warning disciplinary procedure, that 
invulvet. personal luiiduit. For an employee who otherwise 
qualifies for a career growth recognition award, a an 
unresolved final wiitteu warning disciplinary procedure is the 
only justification for not granting this increase. 

(b) An employee who has been denied the career growth 
recognition award because of an unresolved final wiitt e u 
warning disciplinary procedure shall receive the award on a 
current basis at the time that final wiitt e u — warning 
disciplinary procedure is resolved. (See 25 NCAC ID. 2514 
of this Section) For puipus e purposes of calculating the 
career growth recognition award, only the most recently 
awarded increase shall be utilized (i.e., the last increase that 
was funded). 

(c) An employee having a probationary or trainee 
appointment on the date increases are effective is not eligible 
for a career growth recognition award. These employees 
become eligible when increases are effective for the next 



Authority G.S. 126-7. 

.2504 EFFECTIVE DATE OF CAREER GROWTH 
RECOGNITION AWARD 

Career growth recognition awards shall be effective on the 
first day of July unless otherwise specified by the General 
Assembly or because they are delayed due to leave without 
pay or an unresolved final wiitt e u warning, disciplinary 
procedure. 

Authority G.S. 126-7. 

.2505 COST-OF-LrvTNG ADJUSTMENT 

Cost-of- Living Adjustment is a general salary increase in 
response to inflation and labor market factors awarded to an 
employee whose final overall summary rating is at or above 
level two of the rating scale, and who does not have an 
unresolved final writt e n warning, disciplinary procedure. 

Authority G.S. 126-7. 

.2507 EMPLOYEES ELIGIBLE FOR COST-OF- 
LIVING ADJUSTMENT 

(a) An employee having a permanent, time-limited. 
probationary, or trainee full-time or part-time (half-time or 
more) appointment whose overall summary rating is at or 
above level two, or a rating based on Paragraph (b) of this 
Rule that is not unsatisfactory, except employees who have 
an unresolved final wiitteu waruiug disciplinary procedure 
involving personal conduct on the date that increases are 
given is eligible for a cost-of-living increase. This applies to 
all employees regardless of where their salary is in the salary 
range, including those above the maximum. 

(b) For the purpose of granting the cost-of-living 
adjustment to employees who have not completed a full 
performance management cycle and received an overall 
summary rating, the following shall apply: 

(1) Pi iui tu July 1 , Each each employee's performance 
shall be reviewed. 

(2) If the review indicates unsatisfactory performance, 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1430 



PROPOSED RULES 



the employee shall not receive the cost-of-living 
adjustment until the performance level is above the 
unsatisfactory level. The actual results of the 
review shall be documented with the employee. 

(3) If the review indicates that the performance is 
above unsatisfactory, the employee shall be 
granted the cost-of-living adjustment. 

(4) If the supervisor feels that the employee has not 
worked long enough for a determination of 
performance level to be made, a review shall be 
made each month for the purpose of deteniiining 
whether the performance is above unsatisfactory 
and the cost-of-living adjustment should be 
granted. 

(5) If the cost-of-living adjustment has not been 
granted during the probationary period, it shall be 
granted on a current basis at the time the employee 
is given a permanent appointment since the 
employees performance must be satisfactory to 
move from a probationary to a permanent 
appointment. 

(c) An employee who has been denied the cost-of-living 
adjustment because of an unresolved final wiitt e u warning 
disciplinary procedure involving peisuual conduct shall 
receive the adjustment on a current basis when that final 
wiitt e u warning disciplinary procedure is resolved. (See 25 
NCAC ID .2514 of this Section) 

(d) An employee who is on leave without pay on the date 



a cost-of-living adjustment is effective shall receive the 
increase on the date of reinstatement if the employee's 
performance has been determined to be above the 
unsatisfactory level, or at such time as the employee's 
performance is determined to be above the unsatisfactory 
level. 

Authority G.S. 126-7. 

.2508 EFFECTIVE DATE OF COST-OF-LIVING 
ADJUSTMENT 

Cost-of-living adjustments shall be effective on the first 
day of July unless otherwise specified by the General 
Assembly or because they have been delayed due to leave 
without pay or an unresolved final wiitteu — warning. 
disciplinary procedure. 

Authority G.S. 126-7. 

.2509 PERFORMANCE BONUS 

Performance Bonus is a lump sum award to an employee 
whose final overall summary rating is at or above level four 
of the rating scale and who does not have an unresolved final 
wiitteu warning, disciplinary procedure. 

Authority G.S. 126-7. 



.251 1 EMPLOYEES ELIGIBLE FOR PERFORMANCE BONUS 

(a) An employee having a permanent or time-limited full-time or part-time (naif-time or more) appointment whose overall 
summary rating is at or above level four after completing a work cycle based on a work plan shall be eligible to receive a 
performance bonus unless the employee has an unresolved final wiitt e u waiuing that involves p c isuual luuduit. disciplinary 
procedure. 

(b) An employee who has been denied a performance bonus because of an unresolved final wri tte n warning disciplinary 
procedure involving p e isuual conduc t shall not be eligible for a performance bonus during the current cycle. The employee 
will be eligible for a bonus in the next cycle based on the p e i fui malic e e valuation overall summary rating. 

(c) An employee having a probationary or trainee appointment on the date bonuses are effective is not eligible for a 
performance bonus. These employees become eligible when increases are effective for the next work cycle after: 

(1) receiving a permanent appointment, 

(2) completing a work cycle, and 

(3) receiving a summary rating at or above level four. 

(d) An employee who is on leave without pay on the date performance bonuses are effective shall receive the bonus effective 
on the date of reinstatement if the work cycle has been completed and an overall summary rating given. If the work cycle and 
overall summary rating have not been completed, the employee shall receive the bonus at the time when both have been 
completed. 

(e) An employee whose salary is at the maximum of the salary range is eligible for a performance bonus. 

(f) An employee whose salary is above the maximum of the salary range is eligible for a performance bonus only to the 
extent that the base salary paid the employee plus the performance bonus allocated according to the employee's performance 
rating does not exceed the maximum salary paid on the adopted pay schedule for the applicable pay grade plus the allocated 
performance bonus calculated on the maximum salary on the pay schedule. This performance bonus shall be calculated as 
follows: 



Line 


Item 


Calculation 


1 


Maximum of salary range 




2 


% bonus due according to performance rating 





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PROPOSED RULES 



3 


Dollar amount of performance bonus [Line 1 x Line 2] 




4 


Maximum annual salary allowed [Line 1 + Line 3] 




5 


Salary of employee paid above maximum of range 




6 


Maximum performance bonus for employee paid above the range [Line 4 - Line 5) 




If Line 5 is greater than Line 4, the employee cannot receive a bonus. 



(g) An employee who separates from State service prior to the effective date performance bonuses are effective is not eligible 
to receive the increase. 



Authority G.S. 126-7. 

.2513 BASES FOR AWARDING INCREASES 

(a) Each agency shall have an operative Performance 
Management System which has been approved by the Office 
of State Personnel using the North Carolina Performance 
Rating Scale. The complete requirements for an operative 
performance management system are defined in 25 NCAC 10 
- Performance Management System. 

(b) Eligibility for increases will be based on the most 
recent work cycle completed and overall summary rating 
received during the previous 12-month period. 

(c) The performance management system of each agency 
shall ensure that salary increases are distributed fairly, 
consistent with internal equity and with the Performance 
Management System. The State Personnel Director shall 
rescind any career growth recognition award or performance 
bonus that does not meet the intent of the provisions of the 
performance management rules and require the originating 
agency to reconsider or justify the increase. An increase or 
bonus does not meet the intent of the provisions of the 
performance management rules in the event that increases or 
bonuses are distributed: 

(1) in an arbitrary or capricious manner; 

(2) in a manner that violates laws prohibiting 
discrimination; or 

(3) to managers or supervisors whose failure to 
comply with the performance management rules 
resulted in the loss of an increase or a bonus by 
employees under their supervision. 

(d) No agency shall set limits so as to preclude an eligible 
employee from receiving a career growth recognition award, 
cost-of-living adjustment, or performance bonus; or to 
initiate written disciplinary procedures for the purpose of 
precluding an eligible employee from receiving a cost-of- 
living adjustment. 

(e) When a work cycle has been completed but an overall 
summary rating has not been given, the State Personnel 
Director has the authority to order the agency to give an 
accurate rating. If the agency fails to give a rating, the 
employee shall be given a rating of no less than level 3_i 
Once a rating is given for work performed during a cycle for 
which the General Assembly has allocated funds for an 
increase under the Comprehensive Compensation System, the 
employee shall, if allowed by law and the Administrative 



(2) 



Code, be eligible for the increase retroactive to the date that 

other increases were awarded. 

(fl Final Disciplinary Procedure Defined: For purposes 

of eligibility for salary increases, an employee in final 

disciplinary procedure is an employee whose personnel file 

includes: 

(11 two active disciplinary actions of any type: or 
(21 an active suspension without p ay or demotion. 

Authority G.S. 126-4; 126-7. 

.2514 FINAL DISCIPLINARY PROCEDURE 

fa) For purpose of this Section only, a final writt e n 
wanting disciplinary procedure is deemed to be resolved 
resolved: in th e event. 

(11 when it becomes inactive in accordance with 25 
NCAC IJ .0614(g1: 

when an authorized manager or supervisor places 
a written statement m the personnel file of aa 
affected employee indicating that the issue 
addressed in the final written disciplinary 
procedure, while not inactive for purpose of future 
discipline, is sufficiently resolved to warrant the 
granting of the appropriate salary increase: or 
when the presence of the same final written 
disciplinary procedure in the personnel file was 
utilized as a basis to deny a salary increase in a 
previous performance management cycle. 

f+) that the p e rsonal conduct issu e is r e sulved and th e 

warning is i c inuv e d Hum the e mployee's peisunnel 
fil e , or 

i¥) that the personnel fil e uf th e e mployee contains a 

wiitteu statem e nt from an authuiized manag e r ui 
supeivisoi indicating that, aft e i levi e w of the 
p e rsonal conduc t issu e , circumstances warrant t h e 
gianting of th e career growth award, or 

(3} that th e final writt e n warning is not resolved in a 

manner set forth in Subparagraph (a)(1) or (a)(2) 
uf this Rule, and 



Q} 



m 



-the 



inui e tlian l» mouths nave passed since I 
date uf th e final writt e n warning oi a lett e r 
e xtending th e effect of the warning, and 
(B) the agency has not tend e red notic e to the 



11:19 



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January 2, 1997 



1432 



PROPOSED RULES 



e mployee uf the extension uf t h e Final 

written warning foi — llie puipuse uf this 

S e ctiun. — (Tli e nutiu e uf e xt e nsion may be 

t e nil e icd at any time piiui tu 18 munths 

fuim die dat e uf the filial wiitt e n waining -or 

pi iui tu the expiiatiuti uf 18 months fium 

th e date of the prioi e xtension.) 

(b) In th e even t that neith e i Subpaiagiaph (a)(1), (a)(2), 

nui (a)(3) uf this Rule aie applicabl e tu the final wri t t e n 

wanting, th e n th e final wiitten warning shall b e d e emed an 

ailive final wiitt e n warning ui an umesulved final wri t t e n 

warning. 

(l) Tliis Ruli and the gianting uf inueases hav e no eff e ct 
un the su e uf tin final writ te n fui any uthei puipose. 

Authority G.S. 126-7. 

.2516 ELIGIBILITY FOR SEPTEMBER 1, 1996 
LEGISLATIVE SALARY INCREASES 

For purposes of administering the legislative salary 
increase provisions, effective September L. 1996. Rules 25 
NCAC ID .2501-.2508 and .2513-. 2515 shall apply to the 
extent there is not a conflict with the following procedures. 
If there is a conflict, the following procedures shall apply: 

(1) A career growth recognition award shall be granted 
as follows: 

(a) Employees whose salaries are at the 
maximum shall receive a 2%. one-time 
career growth bonus. 

(b) Employees whose salaries are less than 2% 
from the maximum shall receive a partial 
increase added to base pay in an amount that 
h takes to get to the maximum. These 
employees shall also receive a one-time 
career growth bonus in an amount that 
would equal 2% of the base pay minus the 
amount of the career growth award given. 

(c) Employees whose salaries are above the 
maximum shall receive a 1%. one-time 
career growth bonus based on the maximum 
of the salary range m effect on August 31. 
1996. 

(2) The following employees shall receive the cost-of- 
living Increase in accordance with Rule 
■ 2507(b1(lH5) of this Section: 

(a) Employees with a probationary 
appointment. 

(b) Employees who have not completed a work 
cycle, and 

(cj Employees who do not have a performance 
rating because they were hired after the last 
performance management cycle was 
completed. 

(3) After receiving a permanent appointment, 
employees described hi Sub-item (2Kb) and (2)(c) 
of this Rule shall also be eli gible to receive a 



(41 



career growth recognition award as provided 
below. Each agency shall assure that all 
employees are reviewed 'evaluated by the same 
method. 

(a) Each employee shall be given an interim 
review at the mid-point of the employee's 
Performance Management Cycle. If their 
total time of employment is at least 
equivalent to the agency's minimum 
Performance Management Cycle 
requirement, the employee shall be granted 
a career growth recognition award at that 
point, if their performance is deemed to be 
at level 3 or above: or. it shall be granted at 
the time the employee completes the total 
time of employment requirement: or. 

(b) Each employee shall be evaluated and given 
a summary rating after completing time in 
the new cycle that is at least equivalent to. 
the agency ' s minimum Performance 
Management Cycle requirement. If the 
overall summary rating is at level 3_ or 
above, the employee shall be granted a 
career growth recognition award. In any 
event, all these employees, employed prior 
to September 1. 1996. shall be evaluated for 
the career growth recog nition award by May 
31. 1997. and shall receive the career 
growth recognition award if their rating is at 
level 3 or above and they are not in final 
disciplinary procedure. 

Employees with trainee appointments are eli gible 
for the cost-of-living adjustment if they are not in 
final disciplinary procedure. Employees with 
trainee appointments may be eligible for career 
growth recognition awards under the following 
circumstances: 

(a) Employees who are scheduled for trainee 
adjustments are not eli gible for the career 
growth recognition award. They become 
eli gible if they are qualified and are rated 
for placement into the regular class during 
this fiscal year, provided their total time of 
employment is at least equivalent to the 
a gency's minimum Performance 
Management Cycle requirement. If this 
requirement has not been met, the increase 
shall be delayed until h has been met. 

(b) Employees with trainee appointments who 
are not scheduled for trainee salary 
adjustments during this Fiscal year shall be 
eli gible for the career growth award the 
same as employees who are in re gular 
classes. 

(c) In any event, all employees shall be 
evaluated for the career growth recognition 



1433 



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11:19 



PROPOSED RULES 



award by May 31. 1997. unless they are in 
a trainee class that extends beyond this date. 

Authority G.S. 126-4; S.L. 1995, c. 507, s. 7.14. 

*************** 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the State Personnel Commission intends 
to amend rules cited as 25 NCAC IE .0705, .0707, .0709. 
Notice of Rule-making Proceedings was published in the 
Register on October 15, 1996. 

Proposed Effective Date: August 1, 1998 

A Public Hearing will be conducted at 2:00 p.m. on 
February 5, 1997 at Office of State Personnel, 116 West 
Jones St., 3 rd Floor Conference Room 3106 T-2, Raleigh, NC 
27603. 

Reason for Proposed Action: The purpose of the Workers' 
Compensation rules is to ensure that employees experiencing 
work related injuries and illnesses are provided compensation 
in accordance with the Workers ' Compensation Act and to 
provide consistent application of those rules and regulations. 
Further, the purpose is to provide swift and certain remedy 
to the injured employee as well as to ensure a limited and 
determinate liability to the State. 

Comment Procedures: Interested persons may present 
statements either orally or in writing at the Public Hearing 
or in writing prior to the hearing by mail addressed to: Carl 
Goodwin, Office of State Personnel, 116 West Jones St., 
Raleigh, NC 27603. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. These Rules do 
not have a substantial economic impact of at least five 
million dollars ($5,000,000) in a 12-month period. 

CHAPTER 1 - OFFICE OF STATE PERSONNEL 

SUBCHAPTER IE - EMPLOYEE BENEFITS 



SECTION .0700 



WORKER'S COMPENSATION 
LEAVE 



.0705 ADMINISTRATION 

(a) Each state agency is responsible for accepting 
employer liability for the state and paying claims. To assure 
the employee of the benefits provided by the Workers' 
Compensation Act and to effectively control the cost related 
to on-the-job injuries, each agency shall designate a Workers' 
Compensation Administrator to be responsible for the 
effectiveness of processing and monitoring the workers' 
compensation claims. 



(1) The agency shall, on those cases that involve 
possible litigation issues, contact the Attorney 
General's Office who will defend all cases for the 
state before the Industrial Commission. 

(2) The agency shall submit all reportable claims and 
valid medical and compensation payments to the 
Industrial Commission for approval. The 
Industrial Commission is responsible for insuring 
that each employer administers the provisions of 
the Workers' Compensation Act. 

(b) The Office of State Personnel through its Employee 
Saf e ty — and — Health Risk Control Services Division is 
responsible for providing assistance to agency personnel in 
managing their workers' compensation programs and 
insuring that all agencies provide consistent application of 
coverage and compensation to injured employees. This 
office also provides the agencies with the State Government 
Workers' Compensation Program Manual which is an 
operational manual used as a guide in processing workers' 
compensation claims. 

(1) The Employee Safe t y and Health Risk Control 
Services Division shall measure and evaluate the 
effectiveness of the workers' compensation 
program at each agency and recommend changes to 
achieve optimum results. It shall maintain a 
statistical data base summarizing a statewide 
analysis of total expenditures and injuries, and 
develop training and educational materials for use 
in training programs for the agencies. 

Authority G.S. 126-4. 

.0707 USE OF LEAVE 

(a) The Workers' Compensation law provides medical 
benefits and disability compensation including a weekly 
compensation benefit equal to 66 2/3 percent of the 
employee's average weekly earnings up to a maximum 
established by the Industrial Commission each year. When 
an employee is injured, he must go on workers' 
compensation leave and receive the workers' compensation 
weekly benefit after the required waiting period required by 
G.S. 97-28. One of the following options may be chosen: 

(1) Option 1: Elect to take sick or vacation leave 
during the required waiting period and then go on 
workers' compensation leave and begin drawing 
workers' compensation weekly benefits. 

(2) Option 2: Elect to go on workers' compensation 
leave with no pay for the required waiting period 
and then begin drawing workers' compensation 
weekly benefits. 

If the injury results in disability of more than a specified 
number of days, as indicated in G.S. 97-28, the workers' 
compensation weekly benefit shall be allowed from the date 
of disability. If this occurs in the case of an employee who 
elected to use leave during the waiting period, no adjustment 
shall be made in the leave used for these workdays. 



11:19 



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1434 



PROPOSED RULES 



(b) Options 1 and 2 in Paragraph (a) of this Rule, after the 
employee has gone on workers' compensation leave, the 
weekly benefit may be supplemented by the use of partial 
earned sick or vacation leave, earned prior to the injury, in 
accordance with a schedule published by the Office of State 
Personnel each year. Since the employee must receive the 
weekly benefit, this will provide an income approximately 
equal to the past practice of using 100 percent of sick or 
vacation leave. 

(c) Compensatory time may be substituted for sick or 
vacation leave if applied within the time frames provided 
under the Hours of Work and Overtime Compensation 
Policy, (reference: 25 NCAC ID, Section .1900, Rule 
.1928). 

(d) If the employee has earned leave or compensatory time 
and chooses to use it while drawing the weekly benefit, it 
shall be paid on a temporary payroll at the employee's hourly 
rate of pay. It is subject to State and Federal withholding 
taxes and Social Security, but not subject to retirement, just 
the same as other temporary pay. 

Note: Once an election is made under Paragraphs £a) 
through £c) of this Rule, it may not be rescinded for the 
duration of the claim. 

(e) Unused leave may be retained for future use. 

(0 Employees injured on the job in a compensable 
accident who have returned to work, but continue to require 
medical or therapy visits to reach maximum medical 
improvement, shall not be charged leave for time lost from 
work for required medical or therapy treatment. 

(g) Employee Refusal of Coverage: Under certain 
circumstances involving third party liability an employee may 
elect to refuse workers' compensation benefits. If an 
employee refuses workers' compensation benefits for injuries 
resulting from an on the job injury a release statement, 
provided by the agency, must be signed by the employee. 
Unless there is a signed release statement an employee who 
loses time from work as a result of an on the job injury must 
be placed under the workers' compensation leave policy. 

Authority G.S. 97-28; 126-4. 

.0709 RETURN TO WORK 

When an employee, who has been injured on the job and 
placed on workers' compensation leave, has been released to 
return to work by the treating physician, there are three 
possible return to work situations. 

(1) When an employee who is on workers' 
compensation leave, has reached maximum 
medical improvement and has been released to 
return to work by the treating physician, the 
agency shall return the employee to the same 
position or one of like seniority, status and pay 
held prior to workers' compensation leave. 

(2) When an employee who has not reached maximum 



medical improvement is ready to return to limited 
work duty with approval of the treating physician 
but retains some disability which prevents 
successful performance in the original position, the 
agency shall provide work reassignment suitable to 
the employee's capacity which is both meaningful 
and productive and advantageous to the employee 
and the agency. This work reassignment shall be 
a temporary assignment and shall not exceed 90 
days without approval from the agency personnel 
officer. When the employee reaches maximum 
medical improvement the agency shall return the 
employee to the same position or one of like 
seniority, status and pay held prior to workers' 
compensation leave. 
(3) When an employee has received a disability which 
prohibits employment in his previous position and 
has reached maximum medical improvement and 
been released to return to work by the treating 
physician the agency shall attempt to place the 
employee in another position suitable to the 
employee's capacity which is both meaningful and 
productive and advantageous to the employee and 
the agency. This work placement may be a 
permanent assignment or either a part-time or 
temporary assignment until a permanent 
assignment is found. 

(a) If a position is not available for work 
placement, the agency shall appoint the 
employee to the first suitable vacancy which 
occurs. During the interim period in which 
a suitable vacancy is not available, the 
employee shall be referred to the Office of 
State Personnel for reemployment assistance 
and a possible return to work in another 
agency. 

(b) Work placement efforts shall continue for a 
period not to exceed 12 months, except with 
the approval of the agency personnel 
officer. 

(c) Vocational R e habilitatiuu Assistance — fat 

suine cases the ex t en t of disabili t y may be 
such that vocational rehabilitation will b e 
ii e cessaiy. If so, th e ag e ncy shall mak e th e 



t h the Noith 
Vocational 



ii e c e ssaiy — auaugem e iits — wr 

Caiuliiia Division of- 

R e habilitation fui such training which may 
b e ii e cessaiy tu assist the e mployee to obtain 
suitabl e employment consistent with his 
pei foi maiice capabiliti e s. 



Authority G.S. 126-4. 



1435 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



TEMPORARY RULES 



The Codifier of Rides has entered the following temporary rule(s) in the North Carolina Administrative Code. Pursuant 
to G.S. 150B-21.1(e), publication of a temporary rule in the North Carolina Register serves as a notice of rule-making 
proceedings unless this notice has been previously published by the agency. 



TITLE 7 - DEPARTMENT OF CULTURAL 
RESOURCES 



Rule-making Agency: 

Commission 



USS North Carolina Battleship 



Rule Citation: 7 NCAC 5 . 0203 

Effective Date: January 1, 1997 

Findings Reviewed by Julian Mann, III: Approved 

Authority for the rule-making: G.S. 143-73 

Reason for Proposed Action: To increase the admission 
rates to tour the Battleship North Carolina 

Comment Procedures: Provide comments in writing to the 
USS North Carolina Battleship Commission, Attn: Capt. 
David R. Scheu, USN (Ret), PO Box 480, Wilmington, NC 
28402-0480. All comments must be submitted no later than 
60 days after the publication of this notice. 

CHAPTER 5 - U.S.S. NORTH CAROLINA 
BATTLESHIP COMMISSION 

SECTION .0200 - USE REGULATIONS 

.0203 ADMISSION PRICES 

(a) The admission price for the Battleship U.S.S. North 
Carolina is ma dullais ($6.00) eight dollars ($8.00) for 
persons age 12 and over, tlnee defers ($3.00) four dollars 
($4.00) for children age 6 through 1 1 , ciue dollai and fifty 
cen t s ($1.50) two dollars ($2.00) per student for organized 
school groups in grades kindergarten through 6, and three 
dullars ($3.00) four dollars ($4.00) per student for organized 
school groups in grades 7 through 12. 

(b) There is no charge for children under 6. 

(c) Classroom teachers, aides, and chaperones 
accompanying students in class field trips will be admitted 
without charge at the rate of one teacher/aide/chaperone for 
each 26 H) students. 

(d) Tour groups uudei auspices uf buna fide tiavel agents 
will be off e red a 20 p e rcent discoun t . — Tour direUuis and 
driv e rs will b e admitt e d without charge. 

(e) Any organized group of 20 or mor e will b e offered a 
10 p e rc e nt discount wh e n tickets are purchased by a single 
source. 

History Note: Authority G.S. 143B-73; 
Eff. February 1, 1976; 
Readopted Eff. December 1, 1977; 



Amended Eff. January 1, 1993; January 1, 1990; June 1, 

1989; February 1, 1987; 

Temporary Amendment Eff. January 2^ 1997. 



TITLE 10 - DEPARTMENT OF HUMAN 
RESOURCES 

Rule-making Agency: DHR - Division of Medical 
Assistance 

Rule Citation: 10 NCAC 26B .0123 



Effective Date: January 9, 1997 



Findings Reviewed by Julian Mann, HI: Approved 



Authority for the rule-making: 

Social Security Act, 1915(g) 



G.S. 108A-25(b); 108A-54; 



Reason for Proposed Action: The change in the language 
of the rule more clearly states that individuals for whom 
abuse or neglect has been substantiated are eligible for At- 
Risk Case Management Services and brings the rule in 
accordance with the language in the Medicaid State Plan. 

Comment Procedures: Written comments concerning this 
rule-making action must be submitted by March 3, 1997 to: 
Division of Medical Assistance, 1985 Umstead Drive, 
Raleigh, NC 27603, Attn: Portia Rochelle, APA 
Coordinator. 

CHAPTER 26 - MEDICAL ASSISTANCE 

SUBCHAPTER 26B - MEDICAL ASSISTANCE 
PROVIDED 

SECTION .0100 - GENERAL 

.0123 CASE MGMT SVCS/ ADULTS/CHILDREN 

AT-RISK/ ABUSE/NEGLECT/EXPLOITATION 

(a) Case management is a set of interrelated activities 
under which responsibility for locating, coordinating and 
monitoring appropriate services for an individual rests with 
a specific person or organization. The purpose of case 
management services for adults and children at-risk of abuse, 
neglect, or exploitation is to assist them in gaining access to 
needed medical, social, educational, and other services; to 
encourage the use of cost-effective medical care by referrals 
to appropriate providers; and to discourage over-utilization 
of costly services. Case management services will provide 
necessary coordination with providers of non-medical 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1436 



TEMPO RAR Y R ULES 



services such as nutrition programs like WIC or educational 
agencies, when services provided by these entities are needed 
to enable the individual to benefit from programs for which 
he or she is eligible. The set of interrelated activities are as 
follows: 

(1) Evaluation of the client's individual situation to 
determine the extent of or need for initial or 
continuing case management services. 

(2) Needs assessment and reassessment to identify the 
service needs of the client. 

(3) Development and implementation of an 
individualized plan of care to meet the service 
needs of the client. 

(4) Providing assistance to the client in locating and 
referring him or her to providers or programs that 
can meet the service needs. 

(5) Coordinating deliver)' of services when multiple 
providers or programs are involved in care 
provision. 

(6) Monitoring and following-up to ensure services are 
received, adequate to meet the client's needs, and 
consistent with good quality of care. 

(b) The target group includes: 

(1) Adults who are at-risk or show evidence of abuse, 
neglect, or exploitation as defmed in G.S. 
108A-101. Children who are at-risk or show 
evidence of abuse or neglect as defined in G.S. 
7A-517: and 

(2) Who are Medicaid recipients; and 

(3) Who are not institutionalized; and 

(4) Who are not recipients of other 
Medicaid-reimbursed case management services 
provided through the State's home and 
community-based services waivers or the State 
Plan; and 

(5) Who reside in counties providing the non-Federal 
matching funds to offer this service. 

(c) The case manager shall determine whether an adult or 
child is at-risk of abuse, neglect, or exploitation as follows: 

(1) At-Risk Adult: An at-risk adult is an individual 
who is at least 18 years old, or an emancipated 
minor, and meets one or more of the following 
criteria: 

(A) An individual with only one consistent 
identified caregiver, who needs personal 
assistance 24 hours per day with two or 
more of the activities of daily living 
(bathing, dressing, grooming, toileting, 
transferring, ambulating, eating, 
communicating); or 

(B) An individual with no consistent identified 
caregiver, who is unable to perform at least 
one of the activities of daily living (bathing, 
dressing, grooming, toileting, transferring, 
ambulating, eating, communicating); or 

(C) An individual with no consistent identified 
caregiver, who is unable to carry out 



instrumental activities of daily living 
(managing financial affairs shopping, 
housekeeping, laundry, meal preparation, 
using transportation, using a telephone, 
reading, writing); or 

(D) An individual who was previously abused, 
neglected or exploited, and the conditions 
leading to the previous incident continue to 
e xis t , exist: or 

(E) An individual who is being abused, 
neglected, or exploited and is is need of 
protection. 

(2) At-Risk Child: An at-risk child is an individual 
under 1 8 years of age who meets one or more of 
the following criteria: 

(A) A child with a chronic or severe physical or 
mental condition whose parent(s) or 
caretakers) are unable or unwilling to meet 
the child's care needs; 

(B) A child whose parents are mentally or 
physically impaired to the extent that there 
is a need for assistance with maintaining 
family stability and preventing or 
remedying problems which may result in 
abuse or neglect of the child; or 

(C) A child of adolescent (under age 18) parents 
or parents who had their first child when 
either parent was an adolescent and there is 
a need for assistance with inamtaining 
family stability, strengthening individual 
support systems, and preventing or 
remedying problems which may result in 
abuse or neglect of the child; or 

(D) A child who was previously abused or 
neglected, and the conditions leading to the 
previous incident continue to exist, exist; or 

(E) A child who is being abused or ne glected 
and is in need of protection. 

(d) Enrollment of providers will be accomplished in 
accordance with section 1902(a) (23) of the Social Security 
Act. 

(1) Case Manager Qualifications. Case managers must 
meet the following qualifications: 
(A) A case manager for at-risk adults must: 

(i) Have a Master of Social Work degree 
or a Bachelor of Social Work degree, 
or be a social worker who meets 
State requirements for Social Worker 
II classification; and 
(ii) Have training in recognizing risk 
factors related to abuse, neglect, or 
exploitation of elderly or disabled 
adults and in assessment of functional 
capacity and needs related to 
activities of daily li% ing; and 
(iii) Have experience in case management 
services for elderly and disabled 



1437 



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11:19 



TEMPORARY RULES 



adults. 
(B) A case manager for at-risk children must: 
(i) Have a Master of Social Work degree 
or a Bachelor of Social Work degree, 
or be a social worker who meets 
State requirements for Social Worker 
II classification; and 
(ii) Have training in recognizing risk 
factors related to abuse or neglect of 
children and in assessing family 
functioning; and 
(iii) Have experience in case management 
services for children and their 
families. 
(2) Provider Qualifications. Providers must meet the 
following qualifications: 

(A) Meet applicable State and Federal laws 
governing the participation of providers in 
the Medicaid program. 

(B) Be certified by the Division of Social 
Services as a qualified case management 
provider. To be certified, a provider must: 

(i) Have qualified case managers with 
supervision provided by a supervisor 
who meets State requirements for 
Social Work Supervisor I or Social 
Work Supervisor II classification, 
(ii) Have the capability to access 
multi-disciplinary staff, when 
needed. For adults this includes, at 
a minimum, medical professionals as 
needed and an adult protective 
services social worker meeting the 
qualifications in Subparagraphs 
(d)(l)(A)(i) and (d)(l)(A)(ii) of this 
Rule. For children, this must include 
medical professionals as needed and 
a child protective services social 
worker meeting the qualifications in 
Subparagraphs (d)(l)(B)(i) and 
(d)(l)(B)(ii) of this Rule, 
(iii) Have experience as a legal guardian 
of persons and property. 

History Note: Authority G.S. 108A-25(b); 108A-54; Social 

Security Act, 1915(g); 

Eff. October 1, 1992; 

Recodified from 10 NCAC 26B .0122 Eff. October 1, 1993; 

Temporary Amendment Eff. January 9^ 1997. 

*************** 

Rule-making Agency: DHR - Division of Medical 
Assistance 

Rule Citation: 10 NCAC 26H . 0506 



Effective Date: January 9, 1997 

Findings Reviewed by Julian Mann, DH: Approved 

Authority for the rule-making: G.S. 108A-25(b); 108A-54; 
108A-55; 131D-4.1; 131D-4.2; 1995 S.L. Chapter 507, Sec 
23.10; 42 C.F.R. 440.170(f) 

Reason for Proposed Action: This change is necessary to 
permit payment to the public providers. The original rule as 
written limits payments to private providers only. 

Comment Procedures: Written comments concerning this 
rule-making action must be submitted by March 3, 1997 to 
Portia Rochelle, APA Coordinator, Division of Medical 
Assistance, 1985 Umstead Drive , Raleigh, NC 27603. 

CHAPTER 26 - MEDICAL ASSISTANCE 

SUBCHAPTER 26H - REIMBURSEMENT PLANS 

SECTION .0500 - REIMBURSEMENT FOR 
SERVICES 

.0506 PERSONAL CARE SERVICES 

Reimbursem e nt to peisonal idi e services providers will b e 
an iiouily all inilusive f e e as d e veloped by the Division of 
M e dical Assistance based uu th e cost of the s e rvice . 

(a) Personal care services in recipient's home, prescribed 
in accordance with a plan of treatment and provided by a 
qualified person under supervision of a re gistered nurse. 
Payment is based on a negotiated hourly fee not to exceed 
reasonable cost. 

(b) The Division of Medical Assistance will enter into 
contracts with private and public non-medical inpatient 
institutions using 42 CFR 434-12 for the provision of 
personal care services for State/County Special Assistance 
clients residing in domiciliary care homes. 

(1) Effective August j^ 1995 reimbursement is 
determined by the Division of Medical Assistance 
based on a capitation per diem fee derived from 
review of industry costs and determination of 
reasonable costs with annual inflation adjustments. 
The initial basic per diem fee is based on one hour 
of services p er patient day. Additional payments 
may be made utilizing the basic one hour per diem 
fee as a factor, for Medicaid eli gibles that have a 
demonstrated need for additional care. The initial 
basic one hour fee is computed by determining the 
estimated salary, fring es, direct supervision and 
allowable overhead. The fee(s) may be 
recalculated from a cost reporting period selected 
by the state. Payments may not exceed the limits 
set in 42 CFR 447. 361. 

(2) Effective January 1. 1996 public providers will be 
paid on an interim basis using the above method. 
Payments are to be cost settled with any 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1438 



TEMPORARY RULES 



overpayment repaid to the Division of Medical 

Assistance. No additional payment will be made 

due to cost settlement. 

(c) These changes to the Payment for Services Prospective 

Reimbursement Plan for Personal Care Services will become 

effective when the Health Care Financing Administration. 

U.S. Department of Health and Human Service, approves 

amendments submitted to HCFA by the Director of the 

Division of Medical Assistance as #MA 95-07 and #MA 95; 

33 wherein the Director proposes amendments of the State 

Plans to amend payment for services : Prospective 

Reimbursement Plan for Personal Care Services. 

History Note: Authority G.S. 108A-25(b); 108A-54; 108A- 

55; 131D-4.1; 131D-4.2; 1995 S.L. Chapter 507, Sec. 

23.10; 42 C.F.R. 440.170(f); 

Eff. January 1, 1986; 

Temporary Amendment Eff. April 22, 1996; 

Temporary Amendment Eff. January 9. 1997. 



TITLE 15A - DEPARTMENT OF ENVIRONMENT, 
HEALTH, AND NATURAL RESOURCES 

Rule-making Agency: Department of Environment , Health, 
and Natural Resouces 

Rule Citation: 15A NCAC 1M .0101 - .0102; .0201 - 
.0202; .0301 - .0306 

Effective Date: January 7, 1997 

Findings Reviewed by Julian Mann, III: Approved 

Authority for the rule-making: G.S. 143-21 5. 74C-E 

Reason for Proposed Action: To repeal the current 
temporary rules adopted by the Department found in 
Subchapter 1M. These rules will be replaced by temporary 
rules adopted by the Water Pollution Control System 
Operators Certification Commission found in Subchapter 8F. 

Comment Procedures: Comments , statements , data and 
other information may be submitted in writing within 60 days 
after the date of publication of this issue of the NC Register. 
Copies of the proposed rules and information package may 
be obtained by contacting the Technical Assistance and 
Certification Group at (919) 733-0026. Written comments 
may be submitted to Ron Ferrell, Division of Water Quality, 
Water Quality Section, PO Box 29535, Raleigh, NC 27226- 
0535. 

CHAPTER 1 - DEPARTMENTAL RULES 

SUBCHAPTER 1M - CERTIFICATION OF 

OPERATORS OR ANIMAL WASTE 

MANAGEMENT SYSTEMS 



SECTION .0100 - GENERAL 
PURPOSE/DEFTNTTIONS 

.0101 PURPOSE 

(a) These Rules se t forth the lequiieur e iits and piuc e dui e s 
fui a p e i sun whu p e i fui ins the land appliiatiuu uf animal 
wast e fium swin e piuduitiou to b e leitifi e d as lequhed by 



G.S. 143-215. 74C-E. — The- 



of this statute is 1l 



puipose ul tins statut e is 
leduc e iiunpuint suune pollutiuu in uider tu piutect th e 
public health and tu luns e iv e and piuteit the quali t y of the 
Stat e 's watei l e suuices, and tu e ricuuidge the develupin e ut 
and iiniuuv e iii e ut uf the Stat e 's aaiitultmal land fui th e 



nnpiuv e ui e ut of th e Stat e' s agm 
piuduitiuu uf fuud and uth e r agiicultuial piuduits. 

fbr) — Th e s e Rul e s apply tu all animal Wdste niandgeinent 
systems d e sign e d t o manage and that ac t ually suvi muie than 
250 swin e . Smh facilities ai e 



rtrfred 



r e quited tu maintain a c e r t 
Op e iatui in Cliaig e fui the land appliiatiuu uf dnimal wast e , 
as d e fin e d in Rul e .0102 of t his Sectiun. Animal wast g-sbarl 
b e managed su tha t the appliiatiuu of the was te does nut 



:aus e a dischan 



jf puliutants tu th e suifac e wat e is uf th e 



ig e u t puliutants t u tue suiiac e wat e is ul 
Stat e , except as a r e sul t of a stunu eveut muie s e v e re than a 
25-yeai. 24-huui stuiin. — Only the c e i tided Opeiatui in 
Cliaige, ui a p e isuu mid e i the sup e ivisiun uf the Op e iatoi in 
Charge, may apply animal wast e tu the land. The uwu e i uf 
the — facili t y is r e sponsibl e fui — e nsuring that th e waste 
application is p e ifuun e d by an Op e iatui in Chaig e ui a 
pei son und e i the sup e i vision of an Op e iatui in Chaige. 

History Note: Authority G.S. 143-215. 74C-E; 
Temporary Adoption Eff. June 19, 1996; 
Temporary Repeal Eff. January 7^ 1997. 

.0102 DEFINmONS 

(a) "Animal waste" m e ans liquid residuals, lesulting fium 
th e laising uf swine (Sus scrofa), that ai e collected, treat e d, 
stored, or applied to th e land through an animal wast e 
manag e m e n t sys t em. 



thf- 



" Animal — wast e — management — system" 



means — a 

cumbinatiuii uf stiuctuial and iionstmituial piac t ic e s that will 
piup e ily iullec:t, tieat, s t ore, or apply animal waste tu th e 
land such that uu dischaig e uf puliutants occurs tu suifac e 
wa t eis uf th e State by any means e xc e pt as a l e sult of a stoini 
e vent mui e sev e re t han t he 25-yeai, 24-hour stoini. 

(c) "Application" m e ans laying, spreading uu, ungating, 
or inj e cting animal waste on t o or iiitu land. 

(d) "Appiupiiat e e xamination" means an e xamination tha t 
has b e en dev e lop e d and approv e d by the Scci e taiy ui his 
d e signee. 

tel "Appiuved t raining piugiam" — means a tiaining 

program tha t has b e en dev e lop e d and appiuved by — the 
Sccietaiy ui his design ee in coup e iatiun with the Cuupeiativ e 
Ext e nsion Servic e . 

ff) — "Currently valid c e itifiiatiori" means that all tiaining 
and c e itificatiun r e quirem e n t s hav e b e en comple t ed and 



annual l e n e wal f e es have b e en paid as 



-r43= 



paid as sp e ci i ieci m 

215.74C(a)-Cb). 

tg") — "Op e iatur in Charge" m e ans a p e is u u wh u h u lds a 



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11:19 



TEMPORARY RULES 



cuueutly — valid ceilificate tu upcial e au animal — waste 
management system and whu has piiinaiy lespunsibility fui 
the upnatiuii uf the system. 

(h) "Ownci" means the peisun whu owns ui controls the 
land Usui fui agricultmal puipuses ui the peisun ' s lessee or 
designee. 

fr) — "Pei sou midei the supuvisiun uf an Opuatui in 
Chaige" means a person whu lakes diiectious from t h e 



Opeiator 



and whu may only laud apply animal th e Opeiat 



jeiatui in marge 
waste wh e n the Opeiatoi in Charge is un the proper t y and is 
availabl e fui cuiisultatiun and advice at any tim e duiing th e 
applica t ion uf animal waste. 



(tr) — Huldeis of certifications under this piugiani shall 
nutify tli e Divisiuu of Environm e n t al Management, T e elmieal 
Assistanc e — ami — Ceitifieatiun — Group, — Depaitineul — of 
Environment, Health, and Natmal Resources, P.O. Dua 
2 9 535, Raleigh, Nuith Caiulina 27626-0535, hi wiiting, 
wi t hiu 30 days uf any change in addiess. 

(c) — Tlie Secietaiy or th e ir designee may assess a civil 
p e nal t y of up tu une thuusand dullais ($1,000) if it fmds that 
or in Chaige has practiced fraud ui deception, ui 
that reasonable car e , judgment, or the application uf theii 
Riiuwl e dge or ability was nut used in th e p e i fui mance of his 
du t ies. 



History Note: Authority G.S. 143-215. 74C-E; 
Temporary Adoption Eff. June 19, 1996; 
Temporary Repeal Eff. January Z» 1997. 

SECTION .0200 - DUTIES AND REQWREMENTS 



.0201 
f*r- 



DUTJES AND REQUIREMENTS OF OWNERS 

Tli e — owiiei — uf each — individual — animal — waste 
management syst e m must submit a l e tt e i tu the Division uf 
Environmental — Management, — Technical — Assistance and 
C e itifieatiun Group, Depaitm e nt of Environmen t , Heal t h, 
and Na t mal Resouiees, P.O. Box 2 9 535, Ral e igh, Nuith 
Carolina — 27626-0535, which designates an Opeiatui hi 
Chaig e and is cuunteisigned by th e ceitified upeiatui. This 
lettei must b e submitted by Januaiy 1, 1 99 7 fui all facili t ies 
in uperatiun as of that date. — Oth e rwis e , the Op e iatui hi 
Chaig e must b e designated. 



fT) befo- 



animal waste manag e ment syst e m is 



e a new 
placed in up e ratiun aft e i Januaiy 1, 1 99 7; or 

(2) within 30 days aft e r a new Opeiatui in Charge is 

designated. 

ftr) — Tlie Secietaiy or his designee may assess a civil 

penalty uf up to one thuusand dollais ($1,000) fui failure tu 

designat e and maintain an Opeiatui in Charg e fui each animal 

waste manag e ment system that s e ives mui e than 250 swine. 

History Note: Authority G.S. 143-215. 74C-E; 
Temporary Adoption Eff. June 19, 1996; 
Temporary Repeal Eff. January 2L. 1997. 

.0202 DUTD2S AND REQUDtEMENTS OF 
OPERATORS IN CHARGE 

(a) Au Operatoi in Chaig e uf an animal waste managem e nt 
system. 

ft) shall pussess a cuu e utly valid c e itifieatiun as an 

Animal Waste Manag e m e nt System Opeiatui, 



History Note: Authority G.S. 143-215. 74C-E; 
Temporary Adoption Eff. June 19, 1996; 
Temporary Repeal Eff. January 7^ 1997. 

SECTION .0300 - CERTD7ICATION OF 
OPERATORS 

.0301 QUALD7ICATIONS 

An — applicant — fbi — ceitifieatiun — as — an — Animal — Waste 
Managem e nt System op e ratoi shall be lequiied tu. 

(+) have cumpleted an approved t raining program on 

tli e upeiatiun uf animal waste managem e nt syst e ms 
that provides — instiuctiou regarding th e collection, 
storag e , — tieatment, — and applica t ion of anim al 
waste. — Tlie applicant shall b e familial with the 
components — of animal — wast e — coll e ction — and 
tieatm e nt systems, op e iatiuii and maintenanc e uf 
this e quipm e nt, laws and legulatiuns guveuring the 
management uf animal waste, wast e manag e m e n t 
plans, and hav e the abili t y tu peifuini ealibiatiuns 
aiid calculatiuns i e lating tu the applieatiun uf th e 
wa st e; 

(2) have d e inuiistiated eunipet e uee in the up e iatiou of 

animal waste management sys t ems by passing an 
appropriate e xamination; and 

f3) have paid th e lequiied fees as stipula t ed by G.S. 

143-215. 74E. 

History Note: Authority G.S. 143-215. 74C-E; 
Temporary Adoption Eff. June 19, 1996; 
Temporary Repeal Eff. January 7^ 1997. 

.0302 APPLICATION PROCEDURES 

(a) An application — fen — requesting examina t ion — for 

ceitifieatiun as an animal waste manag e m e nt system up e iatui 
must be piupeily and aecmately cumpl e ted and submitted tu 



f2) shall be lespunsible for and must visit and inspec t the — D e paitni e nt — of Environment, — Health, — arrd — Natmal 

each animal waste managem e nt sys t em a t leas t 
weekly, 



R e sourc e s, or it's designee. — Applications can be ubtained 



fad 



(3) shall b e on si te during th e applieatiun uf animal 

waste, and 
(4) shall piup e ily manag e and docum e n t op e ration and 

maint e nanc e uf th e animal — waste management 

system. 



f rom, ana snail B e re t urned t o: uivisiun u t lmvironni e ii 
Manag e ment, Teelmieal Assistance and Ceitifieatiun Group, 
D e paitment of Environm e nt, Health, and Na t ural Resourc e s, 
P.O. Box 2 9 535, Ral e igh, Nuith Carolina 27626-0535. 

(b) Incuiiipl e t e applieatiuus cannot be processed and will 
b e letuined tu th e applicant. 



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1440 



TEMPORARY RULES 



(c) — Ail applicatiuu being fil e d fui e xamina t ion shall b e 
pustmarked by t he. United Slat e s Pus t al Service a t least 30 
days piiui tu th e date upun which th e examination is 
schedul e d tu be administered, ui be submitted aiLuidhig tu 
a piucess approved by the Seiietary ui his designee. 

(d) Upun toxipt uf tlie application by the S e cietaiy ui his 
design e e,, di e applicatiuu sliall be icview e d by the dcsiguee(s) 
uf the Secietaiy foi e ligibility tu take the examination. Th e 
applican t shall be nutified of th e ii eligibility and shall b e 
advised uf the dat e , time and place of the examination. — m 
cas e s wh e ie the applicant is ineligibl e fui examination, t h e 
applicant shall alsu be nutified by ltll e i and advis e d uf th e 
l e asun fui ineligibili t y, — Any applicant who in te ntionally 



applican t will b e c e itified as an Animal Wast e 
Management System Opeiatui and shall be issued 



Aft e r 



a — c e iti t icat e — by — tne — Secr e tary . au c i — eacti 

e xamination, a lis t of thus e ceitified shall b e 
prepared and made pait of the p e iman e nt iccuids 
uf th e Seci e taiy. 



f&) Undei nui inal — cii cuius tauces, neith e i 



-the 



ifumia t i 



supplies laise in t oiiiialiun un th e application f o r ce r t ifica t ion 
fui die puipuse uf gaining eligibili t y, sliall be in e ligibl e for 
di e e xamination. 

(e) An applicant shall b e eligibl e lu tak e th e e xamination 
upun completion uf an appiuved training schuul designed fui 
up e ialuis uf animal waste manag e m e nt sys t ems. Cunipl e tiun 
uf an appiuv e d school shall b e v e rifi e d by a sign e d affidavi t 
fiuin th e schuul instiuctor. 



-th 



jna te 



if) — An applicant who has fail e d tu pass trie appropr 
examination aflei du e e attempts must di e n again satisfac t orily 
cuinpl e te an approv e d tiainhig piogiarn b e foi e b e ing e ligibl e 
tu ictak e th e examination: 

History Note: Authority G. S. 143-215. 74C-E; 
Temporary Adoption Eff. June 19, 1996; 
Temporary Repeal Eff. January 7. 1997. 

.0303 EXAMINATION PROCEDURES 

Th e Seci e taiy ui his d e sign e e shall cunduct e xamina t ions 
fui c e i t ificatiun. 

f ex amina t ion shall 



r+ 



) 1 li e dat e s, tun e s, and plac e s o 

b e d e t e i min e d bv t he S c ci e tarv 



e xamina t ion grade nui the exauiinatiun pap e i uf 
any applicant will b e made available tu anyune 
o t her t han the Seci e taiy or his designee and thus e 
approv e d persons who assist in conducting and 
grading th e exainhiation sr 

History Note: Authority G.S. 143-215. 74C-E; 
Temporary Adoption Eff. June 19, 1996; 
Temporary Repeal Eff. January 7,. 1997. 

.0304 RENEWAL OF CERTIFICATION 

A — cuii e ntly — valid c e itificatiun as an Animal — Waste 
Manag e m e nt Sys te m Op e ratoi may b e maintained by . 

f+) the paym e nt of an annual r e n e wal fee establish e d 

by th e S e ci e tajy, and 

t2-) unce ev e iy fivey e ais. 

■fs) att e nd the six hum tiaining piugiam, and 

fb) d e muiistiat e cumpetence in the up e iatiuu uf 

animal — wast e — management — systems — by 
passing an appropiiate examhialiuii. 

History Note: Authority G.S. 143-215. 74C-E; 
Temporary Adoption Eff. June 19, 1996; 
Temporary Repeal Eff. January 7,. 1997. 

.0305 REVOCATION, RELINQUISHMENT OR 
INVALIDATION OF CERTIFICATION 

(a) The Seci e taiy may i e vok e ui susp e nd the c e rtificat e uf 



(2) Each applicant filing — fur examination shall b e an up e iatui ui may issu e a written reprimand tu an up e iatui 

notifi e d uf th e date. — time, — and plac e uf the 
exauiinatiun. 



if it finds t hat th e 



upeiatui has piac t ic e d fraud ui dec e ption, 
oi dia t reasonabl e car e , judgment, ui th e applicatiuu of th e ii 



he S e ci e taiy sliall be 
given only to thus e whu, — after — filing proper 



>i th e ii 



(3) Examinations appiov e d by the S e ci e taiy shall b e knowl e dg e oi abili t y was nut used in t h e p e rformance u t 

duties, ui diat di e up e iatur in charg e is incomp e t e nt ui unable 



applicatiuu, hav e been de tc uidn e d lu b e e ligibl e . 
(4) Wh e n each applican t i c c e ives t h e ir e xamina t ion 



to piupeily p e i fui in th e ii duti e s, in accordanc e with the 
pi o cedm e s e t fuith in G.S. 150D, Ajticl e 3. — Prior t o t h e 



pap e i 



th e y 



will iden t i t y thems e lv e s by way ut a 
valid diiv e i's lic e nse oi — oth e i — fouii of pho t o 



Tsed 



S e ci e taiy oi — his designee taking action on a piupus 
revoca t iun. suspensiun ur reprimand; the up e iatui shall b e 



identifi c ation satisfactuiy lu th e pioc t or of t h e giv e n an oppor t uni t y to submit a wiiti e n stat e m e n t and 
exaiiiinaliuu. piesent uial aiguin e iit befuie th e Secr e tary ui his d e signee at 



(5) R e pi e s e ntativ e s uf di e S e cietaiy ui his d e signees. 

who ar e supei vising th e e xaminations may tak e 



appiopnate ac t ion against applicants, including 
dismissal from di e e xamination, if th e examination 



a sch e duled 
deliv e i e d oi 
meeting: 



jf th e m e eting shall be hand 



poli c i es — and — pioc e dm e s as — ou t lined — by — the 
Secietaiy or his d e sign e e are no t follow e d. 

fb) An examina t ion scor e of 70% or high e i shall 

cons t i t u t e a passing scor e . 



ifp) The applican t will b e irifoun e d, 



-by 



lie applican t will b e mtoiiii e u, m wilting o nly, 
d ie Secr e tary or Iris designe e as to the l e sul t s of t h e 
examination: — If a passing scui e is mad e , t h e 



meeting. — [Notice ut tli e m e eting snail be 

by c e itifi e d mail at l e as t 15 days piiui tu th e 

(b) — Nutic e uf th e l e vucatiun ui susp e nsion shall b e hand 
deliv e r e d lu di e upeiatui ur by c e r t ified mail at least 20 days 
piior t o t h e e ffec t ive da te of t h e revocation ui susp e usiuu. 
Tli e nutice shall contain th e all e g e d facts ui cuuduct upun 
which di e l e vucatiun ui suspensiun is bas e d and shall nifuun 
t he op e rator of th e oppor t uni t y to cont e st th e action. 

(c) Certification may be r e linquished by subiiussiun tu th e 
Secietaiy oi his designee of th e uiiginal c e itificate and a 



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11:19 



TEMPORARY RULES 



notarized statement uf lelinquislrrneu tr 

(d) — Failui e tu submit the animal lenewal fee by th e du e 
date — straH — result — in — invalidatiun — of — the — c e rtifica t ion. 
Ceitifiiatiuu may be leiustated upun payment uf all teiiewal 
fees and meeting all uther qualificatiuns outlined in Rule 
.0304 uf this SeUiun. 

History Note: Authority G.S. 143-215. 74C-E; 
Temporary Adoption Eff. June 19, 1996; 
Temporary Repeal Eff. January 7. 1997. 

.0306 RECERTIFICATION FOLLOWING 

REVOCATION OR RELINQUISHMENT 

(a) Aftei icvucatiun ui l e linquishment has been effective 
fui a puiud uf nut less than 270 days, a person may apply in 
writing fui lecertificatiuu by the Sccietaiy or his designee. 
The pctitiun must include any relevant facts cunceru ing 
changes — to — cunditions — und e r — which — revocation — or 
r e linquishment uccuired. Such facts must shuw clearly t hat 
the applicant will cumply with the laws and r e gulatiuns 
cuncernhrg the upeiatiuu uf animal waste management 
systems. - 

(b) Within 120 days fuhuwing r e ceipt uf an application for 
lec c itificatiun, the Secretary will notify the applicant by 
letter uf its decision tu deny ui giant e Aanrinatiuu eligibili t y 
in accordance with procedmes se t out in Rule .0305 of this 
Section. Additiurral eligibility lequir e ments including a show 
cause conference may be impused by th e Seci e tary ui his 
d e signee as is deems appropriate. — Eligibili t y will only b e 
g- ianled if theie is substantial evid e nce that the cunditiuns 
l e ading tu the revucatiun or — lelinquishm e nt have b e en 
cuuected. 

(c) — Rec e rtiftcatiun of a p e rsun as an upeiatur uf animal 
wast e management systems shall only occur by means uf 
applicatiuu and examinati on: — The examination will nut be 

waived. Tire — applican t srraH — meet — the — eligibili t y 

requirements as outlined in Rule .0301 uf this Section. 

fd) — Upun nutification uf the Secr e tary's or his designee's 
decision tu deny e ligibility, the applicant may appeal th e 
d e cision pursuant tu the piucedmes cuntahred in G.S. 150D, 
Article 3. 

History Note: Authority G.S. 143-215. 74C-E; 
Temporary Adoption Eff. June 19, 1996; 
Temporary Repeal Eff. January 7. 1997. 

Rule-making Agency: Water Pollution Control System 
Operators Certification Commission 

Rule Citation: 15A NCAC8F.0101 - .0102, .0201 - .0203, 
.0301, .0401 - .0407, .0501 - .0506 

Effective Date: January 7, 1997 

Findings Reviewed by Julian Mann, HI: Approved 



Authority for the rule-making: G.S. 90A-35; 90A-37; 90A- 
38; 90A-39; 90A-41; 90A-43; 90A-44; 90A-47; 143B-300; 
150B-3; 150B-23; 150B-38; 150B-52 

Reason for Proposed Action: The purpose of this rule 
making is to establish the certification procedures and 
requirements for operators of animal waste management 
systems as required by G. S. 90A-47. The intent of this 
certification is to reduce nonpoint source pollution that may 
result from the land application of animal waste that is 
generated by animal operations as defined at G.S. 143- 
215. 10B. The certification program is designed to protect 
the public health and to conserve and protect the quality of 
the State 's agricultural land for the production of food and 
other agricultural products, and to require the examination 
of animal waste management system operators and 
certification of their competency to operate or supervise the 
operation of those systems. 

Comment Procedures: Comments, statements, data and 
other information may be submitted in writing within 60 days 
of the publication of this notice. Copies of the proposed 
rules and information concerning the rules may be obtained 
by contacting the Technical Assistance and Certification 
Group at (919) 733-0026 or by submitting a written request 
to the address below. Written comments may be submitted to 
Ron Ferrell, WPCSOCC, Division of Water Quality, Water 
Quality Section, P. O. Box 29535, Raleigh, NC 27626-0535. 

CHAPTER 8 - WATER POLLUTION CONTROL 

SYSTEM OPERATORS CERTIFICATION 

COMMISSION 

SUBCHAPTER 8F - CERTIFICATION OF 

OPERATORS OF ANIMAL WASTE 

MANAGEMENT SYSTEMS 

SECTION .0100 - GENERAL 
PURPOSE/DEFINITIONS 

.0101 PURPOSE 

(a) The purpose of these Rules is to reduce nonpoint 
source pollution in order to protect the public health and to 
conserve and protect the quality of the State's water 
resources, to encourage the development and improvement of 
the State's a gricultural land for the production of food and 
other agricultural products, and to require the examin ation of 
animal waste management system operators and certification 
of their competency to operate or supervise the operation of 
those systems. 

£b) These Rules apply to all operators of animal waste 
management systems that are required to designate an 
operator in charge as specified by G.S. 90A-47.2(a'). These 
animal waste mana gement systems include those systems that 
are designed to serve an. animal operation involving 250 qi 
more swine. 100 or more confined cattle. 75 or more horses. 
1000 or more sheep, or 30.000 oi more confined poultry 



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1442 



TEMPORARY RULES 



with a liquid animal gastfi management system, 

£cj Us Certification Commission shall classify animal 
waste management systems based on the types of structures 
and nonstructural practices serving a feedlot that provide for 
the collection, treatment, storage, or land application of 
animal waste. 

(d) The Certification Commission shall establish 
certifications for each type of animal waste management 
system so that persons holding these certificates shall be 
affirmed competent to operate a specific type of animal waste 
management system. 

History Note: Authority- G.S. 90A-37; 90A-38; 90A-47; 
143B-300; 

Temporary Adoption Ejf. January 7_> 7997. 

.0102 DEFINITIONS 

(a) "Animal waste" means liquid residuals, resulting from 
an animal operation that are collected, treated, stored, or. 
applied to the land through an animal waste management 
system. 

£b) "Animal waste management system" means g 
combination of structures and nonstructural practices serving 
a feedlot that provide for the collection, treatment, storage. 
or land application of animal waste. 

(c) "Animal waste management system operator" means a 
person that has been certified by the Certification 
Commission as a Type A Animal Waste Management System 
Operator or as a Type B Animal Waste Management System 
Operator. 

(d) "Application of animal waste" means laying, spreading 
on. irrigating, or injecting animal waste onto or into the soil. 

£ej "Appropriate examination" means an examination that 
has been approved by the Certification Commission. 

(f) "Approved training pro gram" means a training 
pro gram that has been developed and approved by the 
Certification Commission in cooperation with the 
Cooperative Extension Service. 

(g) "Certified operator" means a person who holds a 
currently valid certification as an animal waste management 
system operator. 

(h) "Certification Commission" means the Water Pollution 
Control System Operators Certification Commission 
(WTCSOCO created by G.S. 143B-300. 

rij "Contract animal waste management system operator" 
means any certified animal waste operator who contracts with 
the owner or person in control of an animal operation 
pursuant to G.S. 90A-47.2fb). 

(j) "Currently valid certification" means that all training 
and certification requirements pursuant to G.S. 90A-47.3fb) 
and G.S. 90A-47.4 have been completed. 

(TO "Emergency circumstances" means any extraordinary 
meteorological event, natural catastrophe, or equipment 
failure that threatens the integrity of the animal waste 
management system. 

(1) "Operator in Charge" means a person who holds a 
currently valid certificate to operate an animal waste 



management system and who has primary responsibility for 
the operation of the system. 

(m) "Owner" means the person who owns or controls the 
premises of an animal operation having an animal waste 
management system. 

(n) "Person under the supervision of an. Operator in 
Charge" means a person who takes directions from the 
Operator in Charge and who may only land apply animal 
waste when the Operator in Charge is available for 
consultation and advice at any time during the application of 
animal waste. 

History Note: Authority G.S. 90A-35; 90A-43; 90A-47; 

143B-300; 

Temporary Adoption Ejf. January 2» 1997. 

SECTION .0200 - DUTIES AND REQUIREMENTS 

. 020 1 DUTIES AND REQUIREMENTS OF OWNERS 

(a) The owner of each animal operation having an. animal 
waste management system shall submit a letter to the 
Certification Commission. Division of Water Quality. 
Technical Assistance and Certification Group. P.O. Box 
29535. Raleigh. North Carolina 27626-0535. which 
designates an Operator in Charge with the appropriate type 
of certification. This letter shall be signed by the owner and 
the certified operator and be submitted to the Certification 
Commission by January l± 1997 for all facilities in operation 
as of that date. Otherwise, the Operator in Charge shall be 
designated: 

(1) before a new animal operation having an animal 
waste management system is placed in operation 
after January L, 1997: or 

£2} within 30 days after a new Operator in Charge is 
designated. 

(b) An owner may voluntarily designate a back-up 
Operator in Charge to operate the animal waste management 
system during the absence of the primary Operator in 
Charge. 

History Note: Authority G.S. 90A-44; 90A-47; 143B-300; 
Temporary Adoption Ejf. January 21 1997. 

.0202 DUTDZS AND REQUIREMENTS OF 
CERTIFIED OPERATORS 

Certified Operators shall: 

(1) notify the Certification Commission. Division of 
Water Quality. Technical Assistance and 
Certification Group. P.O. Box 29535. Raleigh. 
North Carolina 27626-0535. in writing, within 30 
days of any chang e in address. 

(2) pay an annual renewal fee as specified at G.S. 
90A-47,4fb) and complete all additional training 
requirements as specified at G.S. 90A-47.3(h). 

History Note: Authority G.S. 90A-47; 143B-300; 
Temporary Adoption Eff. January 2+ 1997. 



1443 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



TEMPORARY RULES 




.0203 DUTIES AND REQUIREMENTS OF AN 
OPERATOR IN CHARGE 

An Operator in Charge of any animal waste 

lent system shall: 
possess a currently valid certification as an Animal 
Waste Management System Operator of the 
appropriate type: 

(2) visit, and inspect each animal waste management 
system at a frequency sufficient to ensure proper 
operation of the system: and 

(3) be responsible for the proper a pplication of the 
animal waste: properly manage, supervise and 
document daily operation and maintenance of ihe 
system: certify monitoring and reporting 
information as prescribed in the permit: and reside 
within reasonable proximity of the system to be 
readily available for consultation during 
emergency circumstances, regulatory inspections 
and similar matters. 

(b) The Operator in Charge or a designated back-up 
Operator in Charge of a Type A Animal Waste Management 
System shall: 

(1) ensure that animal waste is applied in accordance 
with the animal waste management plan and the 
permit issued for the animal operation: 
£2} inspect, or a person under the supervision of an 
Operator in Charge shall inspect, the land 
application site at least every four hours during the 
application of animal waste: and 
(3) inspect the land application site within 24 hours of 
the application of animal waste if the Operator hi 
Charge was not present during the application of 
animal waste, 
(cl The Operator in Charge or a designated back-up 
Operator in Charge of a Type B Animal Waste Management 
System shall: 

(1) ensure that animal waste is applied in accordance 
with the animal waste management plan and the 
permit issued for the animal operation: 

(2) inspect, or a person under the supervision of an 
Operator in Charge shall inspect, the land 
application site during the application of animal 
waste: and 

(3) inspect the land application site within 48 hours of 
the application of animal waste if the Operator in 
Charg e was not present during the application of 
animal waste. 

(d) Any certified operator that contracts with an. owner to 
serve as Operator in Charg e shall submit an annual report to 
the Certification Commission in accordance with G.S. 90A- 
45(c). This report shall be submitted on or before January 15 
of each year and shall include the following information: 
(1) the name of the certified operator, mailing address, 
phone number, and certificate numberfs^: and 
the name, mailing address, county, and facility 
identification number, and type of each animal 
waste management system for which the certified 



operator has been designated as Operator in 
Charge. 

History Note: Authority G.S. 90A-47; 143B-300; 
Temporary Adoption Effi. January Z*. 1997. 



SECTION .0300 - CLASSIFICATION 



.0301 



ill 



CLASSD7ICATION OF ANIMAL WASTE 
MANAGEMENT SYSTEMS 

The Certification Commission shall classify animal waste 
management systems based on the types of structures and 
nonstructural practices serving a feedlot that provide for the 
collection, treatment, storage, or land application of animal 
waste. 

CD Type Al animal waste management systems that 
may include the following structures and 
nonstructural components that provide for the 
collection, treatment, storage and land application 
of animal waste and primarily rely on an anaerobic 
lagoon and soil /plant systems for the treatment of 
animal waste. These systems generally include the 
following components: anaerobic lagoon: pumps, 
pipes and associated appurtenances that convey the 
waste from point of generation to final 
treatment/disposal site: flushing systems: solids 
separation equipment: irrigation equipment: and 
land application site and crops. Type A animal 
waste management systems are generally used to 
treat waste generated by monogastric animals 
which produce a low-fiber waste. Animal waste 
management systems which include components 
that are significantly different than the system 
described above shall be evaluated by the 
Commission, or its designee, to determine if the 
system is. subject to classification in accordance 
with Rule 15A NCAC 8C .0002(b1. 
Type B: animal waste management systems that 
may include the following structures and 
nonstructural components that provide for the 
collection, treatment, storage and land application 
of animal waste and primarily rely on soil/plant 
systems for the treatment of animal waste. These 
systems generally include the following 
components: dry stacks: solids and slurry 
collection equipment: storage ponds for the 
collection of solids and runoff: pumps, pipes and 
associated appurtenances that convey the waste 
from point of generation to final treatment/d i sposal 
site: flushing systems: solids separation 
equipment: irrigation equipment: and land 
application site and crops. Type B animal waste 
management systems are generally used to treat 
waste generated by ruminants and other animals 
which produce a high-fiber waste. Animal waste 
management systems which include components 
that are significantly different than the system 



ai 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1444 



TEMPORARY RULES 



described above shall be evaluated by the 
Commission, or its designee, to determine if the 
system is subject to classification in accordance 
with Rule 15A NCAC 8C . 00020)1. 

History Note: Authority G.S. 90A-37; 90A-47; 143B-300; 
Temporary Adoption Eff. January 7. 1997. 

SECTION .0400 - CERTIFICATION OF 
OPERATORS 

.0401 QUALIFICATIONS FOR EXAMINATION 

(a) Type A Animal Waste Management System Operator. 
(11 An applicant for certification as a Type A Animal 

Waste Management System Operator shall be 
expected to have a general knowledge of animal 
operations and Type A animal waste management 
systems. The applicant shall have knowledge of 
the laws and regulations related to the operation of 
Type A animal waste management systems, the 
equipment usually employed ia Type A animal 
waste management systems, be able to describe the 
general maintenance requirements for such 
equipment, have the ability to perform calibrations 
and calculations relating to the land application of 
the waste, have an understanding of animal waste 
management plans, and be able to read and 
complete the forms necessary to document the 
proper land application of animal waste in 
accordance with the animal waste management 
plan. The applicant must submit an application to 
the Certification Commission showing that the 
following requirements have been met in order to 
take an examination for certification as a Type A 
Animal Waste Management System Operator: 

(A) be at least 18 years of a g e: 

(B) completion of a 10 hour training program 
on the operation of Type A animal waste 
management systems that provides 
instruction re garding the collection, storag e. 
treatment, and land application of animal 
waste. 

(2) An applicant who has failed to pass the appropriate 
examination after three attempts must attend and 
satisfactorily complete the approved training 
program before being eligible to retake the 
examination. 

(b) Type B Animal Waste Management System Operator. 
(11 An applicant for certification as a Type B Animal 

Waste Management System Operator shall be 
expected to have a general knowledge of animal 
operations and Type B animal waste management 
systems. The applicant shall have knowledge of 
the laws and re gulations related to the operation of 
Type B_ animal waste management systems- 
knowledge of the equipment usually employed in 
Type B animal waste management systems, be able 



£2) 



to describe the general maintenance requirements 
for such equipment, have £hs ability to perform 
calibrations and calculations relating to the land 
application of the waste, have an understanding of 
animal waste management plans, and be able to 
read and complete the forms necessary to 
document the proper land application of animal 
waste in accordance with the animal waste 
management plan. The applicant must submit an 
application to the Certification Commission 
showing that the following requirements have been 
met in order to take an examination for 
certification as a Type B Animal Waste 
Management System Operator: 

(A) be at least 18 years of age: 

(B) completion of a 10 hour training program 
on the operation of Type B Animal Waste 
Management Systems that provides 
instruction regarding the collection, storage, 
treatment, and application of animal waste. 

An applicant who has failed to pass the appropriate 



examination after three attempts must attend and 
satisfactorily complete the approved training 
program before being eligible to retake the 
examination. 

History Note: Authority G.S. 90A-43; 90A-47; 143B-300; 
Temporary Adoption Eff. January 7^ 1997. 

.0402 APPLICATION FORM 

(a) An application form which is designed for requesting 
certification as an Animal Waste Management System 
Operator by way of examination must be properly and 
accurately completed and submitted with the appropriate fee 



90A-47.4 to the Certification 
Division of Water Quality. Technical 
Certification Group. P.O. Box 29535. 



as stipulated by G.S 

Commission A 

Assistance and 

Raleigh. North Carolina 27626-0535. 

(b) Incomplete applications and applications not 
accompanied by the appropriate fee and attachments cannot 
be processed and will be returned to the applicant. 

History Note: Authority G.S. 90A-39; 90A-47; 143B-300; 
Temporary Adoption Eff. January 7, 1997. 

.0403 APPLICATION PROCEDURES 

(a) An application being filed for examination shall be 
postmarked by the United States Postal Service at least 30 
days prior to the date upon which the examination is 
scheduled to be administered and the appropriate fee must 
accompany the application. 

(b) Upon receipt of the application by the Certification 
Commission, the application will be reviewed by the 
designee/sl of the Certification Commission for eligibility to 
take the examination. The applicant will be. notified by 
letter, which will serve as the receipt for the examination fee. 
of his/her eligibility and will be advised of the date, time and 



1445 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



TEMPORARY RULES 



place of the examination. In cases where the applicant is 
ineligible for examination, the applicant will also be notified 
by letter and advised of the reason for ineligibility. The 
examination fee will be. refunded in the event that the 
a pplicant is determined to be ineligible for the examination. 
Upon notification of ineligibility, the a pplicant may request 
a hearing before the Certification Commission at the next 
regularly scheduled meeting, relative tQ the ineligibility. 
Such requests must be is writing and shall be. submitted at 
Igast 30 days prior to the next regularly scheduled meeting. 
Any a pplicant who intentionally supplies false information on 
the application for certification for the purpose of g amin g 
eligibility, will be. ineligible for the examination and will 
forfeit the examination fee. Applicants who have 
intentionally supplied false information and who have been 
determined tQ be ineligible who wish tQ rea pply for 
certification shall follow the procedure set forth in Rule 
.0407(d) of this Section. 

History Note: Authority G.S. 90A-39; 90A-47; 143B-300; 
Temporary Adoption Eff. January 7. 1997. 

.0404 EXAMINATION PROCEDURES 

The Certification Commission or its designee shall conduct 
examinations for certification in accordance with the 
following: 

(1) The dates, times, and places of examination shall 
be determined by the Certification Commission. 
Announcements of the dates, times and places of 
examination shall be distributed to the Cooperative 
Extension Service office in each county. 

(2) Each applicant applying for examination shall be 
notified of the date, time, and place of the 
examination in accordance with Rule .0403ffr) of 
this Section. 

(3) Examinations a pproved by the Certification 
Commission shall be given only tQ those who, 
after filing proper a pplication, have been 
determined to be eligible. 

(4) When each applicant receives his/her examination 
paper, he/she shall identify themselves by way of 
a valid driver's license or other form of photo 
identification satisfactory to the proctor of the 
examination. 

(5) Representatives of the Certification Commission or 
its designeefs). who are supervising the 
examinations may take appropriate action a gainst 
applicants. including dismissal from the 
examination, if the examination policies and 
procedures are not followed. 

(61 An examination score of 70 percent or higher shall 
constitute a passing score. 

(7) The applicant shall be notified, in writing only, of 
the score achieved on the examination by the 
Certification Commission or its designee. The 
results of the examination shall be mailed tQ the 
address submitted with the application for 



examination. If a passing score is. made, such 
notification constitutes certification by the 
Certification Commission that the a pplicant is 
qualified operator of the appropriate type of animal 
waste management systems and shall be issued a 
certificate by the Certification Commi ssion. After 
each examination, a list of those certified shall be 
prepared and made part of the permanent records 
of the Certification Commission. 

History Note: Authority G.S. 90A-39; 90A-47; 143B-300; 
Temporary Adoption Eff. January Z* 1997. 

.0405 RENEWAL OF CERTIFICATION 

(a) A currently valid certification as an. animal waste 
management system operator shall be maintained 



Ml 



Ui 



121 



the payment of an annual renewal fee by the date 
established by the Certification Commission: 
completion of a minimum of six hours of 
additional training a pproved by the Certification 
Commission during each three year period 
following initial certification, 
(bl A certified animal waste management system operator 
that fails to pay the annual renewal fee within 30 days of the 
due date, or fails to complete the a pproved additional training 
within 30 days of the end of three year period, shall take and 
pass an. examination approved by the Certification 
Commission in order to renew the certificate. 

History Note: Authority G.S. 90A-47; 143B-30O; 
Temporary Adoption Eff. January Z* 1997. 

.0406 REVOCATION, RELINQUISHMENT OR 
INVALIDATION OF CERTD7ICATION 

(a) The Certification Commission, in accordance with the 
provisions of G.S. 150B. may suspend or revoke the 
certificate of a certified operator, or issue a written 
reprimand to an operator if k finds that the operator: 

(1) engages in fraud or deceit in obtaining 
certification: or 

fails to exercise reasonable care, judgment, or use 
of the operator's knowledge and ability in the 
performance of the duties of an operator in charg e: 
or 

is incompetent or otherwise unable to properly 
perform the duties of an operator in charg e. 
(bl Prior to the Certification Commission taking action on 
a proposed revocation, suspension, or civil penalty 
assessment, the operator shall be given an opportunity to 
submit a written statement and present oral ar gument before 
the Certification Commission at a regularly scheduled 
meeting . The operator shall be notified by the Certification 
Commission in writing at least 15 days prior to the meeting. 
This notification shall be delivered by first class mail to the 
operator's address that the Certification Commission has on 
file. 

(cl The Certification Commission may issue a written 



ai 



OJ 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1446 



TEMPORARY RULES 



reprimand to an. operator is accordance with G.S. 90A-41. 
The reprimand shall be delivered personally or by certified 
mail. A coriy of the letter will be kept in the operator's file 
and a copy will be sent to the operator's employer. The 
operator will be given the opportunity to put a letter of 
rebuttal into the file when a reprimand has been issued. 

History Note: Authority G.S. 90A-41; 90A-47; 143B-300; 
150B-3; 150B-23; 150B-38; 150B-52; 

Temporary Adoption Eff. January 7, 1997. 

.0407 RECERTIFICATION FOLLOWING 

REVOCATION OR RELINQUISHMENT 

(a) After revocation or relinquishment has been effective 
for a period of not less than 270 days, a person may apply in 
writing for recertification by the Certification Commission. 
The petition must include any relevant facts concerning 
changes to conditions under which revocation or 
relinquishment occurred. Such facts must show clearly that 
the applicant will comply with the laws and regulations 
concerning the operation of animal waste management 
systems. 

£b) Within 120 days following receipt of an application for 
recertification. the Certification Commission will notify the 
applicant by letter of its decision to deny or. grant 
examination eligibility in accordance with procedures set out 
in Rule .0403 of this Section. Additional eligibility 
requirements including a show cause conference may be 
imposed by the Certification Commission as it deems 
appropriate. Eli gibility will only be granted if there is 
substantial evidence that the conditions leading to the 
revocation or relinquishment have been corrected. 

£c) Recertification of a person as an operator of animal 
waste management systems shall only occur by means of 
application and examination. The examination will not be 
waived. The applicant shall meet the eligibility requirements 
as outlined in Rule .0401 of this Section. 

(d) Upon notification of the Certification Commission's 
decision to deny eli gibility, the applicant may appeal the 
decision pursuant to the procedures contained in G.S. 150B. 
Article 3^ 

(e) Prior to recertification the applicant must pay in full all 
civil penalties assessed against them by the Certification 
Commission. 

History Note: Authority G.S. 90A-39; 90A-47; 143B-300; 

150B-3; 150B-38; 

Temporary Adoption Eff. January Z* 1997. 

SECTION .0500 - CIVIL PENALTIES 

.0501 WHO MAY ASSESS 

Civil penalties may be assessed by the Secretary of the 
Department of Environment. Health, and Natural Resources 
or his designee, for willful violation of the requirements of 
G.S. 90A-47 and this Subchapter. 



History Note: Authority G.S. 90A-47; 
Temporary Adoption Eff. January 2+ 1997. 

.0502 WHEN ASSESSABLE 

Civil penalties may be assessed whenever the Secretary, or 
his designee, has determined that an owner of an animal 
operation with an. animal waste management system, or. an. 
Operator in Charge of an. animal waste management system, 
willfully violates the requirements of G.S. 90A-47 and this 
Subchapter. Violations that may result in the assessment of 
civil penalties include, in addition to matters specially 
referenced in G.S. 90A-47.5fa). failure to designate a 
properly certified Operator In Charge of t^e animal waste 
management system as required by G.S. 90A-47.2(a). 

History Note: Authority G.S. 90A-47; 

Temporary Adoption Eff. January 7,. 1997. 



.0503 STANDARDS 

In determining the amount of the assessment the Secretary. 
or his designee, shall consider the following standards: 
tU duration of the violation: 

other violations of this Subchapter or G.S. 143- 

215.6(a): 

effectiveness of preventive g_i responsive measures 

taken by violator: 

cost of rectifying any damage caused by the 

violation: and 

the violator's previous record in complying or not 

complying with the requirements of G.S. 143. 

Article 21. 



m 

L4> 

(5) 



History Note: Authority G.S. 90A-47; 
Temporary Adoption Eff January 7,. 1997. 

.0504 ASSESSMENT 

(a) For all violations for which a penalty is assessed a 
notice of such action shall be sent to the respondent by 
certified mail. The notice will describe the violation, advise 
that the penalty is due, and advise the respondent of the 
rights of appeals as specified in Rule .0505 of this Section. 

(b) The Secretary, or his designee, may modify a penalty 
to a lower amount upon finding that additional or different 
facts should be or should have been considered in 
detennining the amount of assessment. 

History Note: Authority G. S. 90A-47; 
Temporary Adoption Eff January 2, 1997. 

.0505 PAYMENT AND HEARrNG 

fa) Within 30 days after receipt of notification of an 
assessment, the assessed person must tender payment, or 
submit in writing a request for remission or reduction of the 
penalty, or file a petition with the office of Administrative 
Hearings in accordance with the procedures found in G.S. 
150B. Article 3. 

(b) The Secretary, or his designee, will accept and 



1447 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



TEMPORARY RULES 



acknowledge all tenders of payment on behalf of the .0506 REFERRALS 

Certification Commission. Requests for remission or If any civil penalty as finally assessed is not paid, the 

reduction of the penalty will be presented to the Certification Secretary, or his designee, on behalf of the Certification 

Commission and the respondent will be allowed the Commission shall request the Attorney General to commence 

opportunity to present its request only when the respondent action to recover the amount of assessment. 

and Chairman stipulate that no facts are in dispute, or where 

the respondent waives his right to an administrative hearing. History Note: Authority G. S. 90A-47; 

Temporary Adoption Eif. January Z+ 1997. 
History Note: Authority G.S. 90A-47; 
Temporary Adoption Eff. January 7. 1997. 



11:19 NORTH CAROLINA REGISTER January 2, 1997 1448 



APPROVED RULES 



This Section includes the Register Notice citation to Rules approved by the Rules Review Commission (RRC) at its meeting 
of November 21. 1996 pursuant to G.S. 150B-21. 17(a)(1) and reported to the Joint Legislative Administrative Procedure 
Oversight Committee pursuant to G.S. 150B-21. 16. The full text of rules are published below when the rules have been 
approved by RRC in a form different from that originally noticed in the Register or when no notice was required to be 
published in the Register. The rules published in full text are identified by an * in the listing of approved rules. Statutory 
Reference: G.S. 150B-21.17. 

Tlxese rules unless otherwise noted, will become effective on the 31st legislative day of the 1997 Regular Session of the 
General Assembly or a later date if specified by the agency unless a bill is introduced before the 31st legislative day that 
specifically disapproves the rule. If a bill to disapprove a rule is not ratified, the rule will become effective either on the 
day the bill receives an unfavorable final action or the day the General Assembly adjourns. Statutory reference: G.S. 
150B-21.3. 



APPROVED RULE CITATION 



REGISTER CITATION TO THE 
NOTICE OF TEXT 



10 



NCAC 



15A NCAC 



3R 


.3040* 
.3050* 




3U 


.0102* 
.0704* 
.0710* 






.2701 - 


.2702* 




.2703 






.2704* 




41P 


.0106* 






.0108 - 


.0112* 


42A 


.0701 
.0702* 




42B 


.1209 






.1210 - 


.1211* 




.2402- 


.2405 


42C 


.2010 
.3701 






.3702 - 


.3703* 




.3704 




42D 


.1409 






.1827 - 


.1830 


49A 


.0102 




49B 


.0202* 
.0310* 
.0502 




2B 


.0315* 




2D 


.0518 

.0524* 

.0530 

.0902 

.0907 






.0909- 


.0911 




.0946 






.0954* 






.1110- 


.1111* 




.1402- 


.1403 


2Q 


.0102* 
.0104* 
.0107 





11:08 


NCR 


466 


11:08 


NCR 


466 


11:10 


NCR 


819 


11:04 


NCR 


188 


11:04 


NCR 


188 


11:10 


NCR 


819 


11:10 


NCR 


819 


11:10 


NCR 


819 


11:12 


NCR 


960 


11:12 


NCR 


960 


11:10 


NCR 


823 


11:10 


NCR 


823 


11:12 


NCR 


967 


11:12 


NCR 


967 


11:12 


NCR 


967 


11:12 


NCR 


967 


11:12 


NCR 


967 


11:12 


NCR 


967 


11:12 


NCR 


967 


11:12 


NCR 


967 


11:12 


NCR 


967 


11:12 


NCR 


960 


11:12 


NCR 


960 


11:12 


NCR 


960 


11:12 


NCR 


960 


11:09 


NCR 


572 


11:08 


NCR 


472 


11:08 


NCR 


472 


11:08 


NCR 


472 


11:08 


NCR 


472 


11:08 


NCR 


472 


11:08 


NCR 


472 


11:08 


NCR 


472 


11:08 


NCR 


472 


11:08 


NCR 


472 


11:08 


NCR 


472 


11:08 


NCR 


472 


11:08 


NCR 


472 


11:08 


NCR 


472 



1449 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



APPROVED RULES 



.0507 
.0512 

.0514 -.0515 
.0517 
7J .0102 
10B .0203* 

.0209 
IOC .0205* 
.0305* 
10D .0003* 
13C .0302* 
.0304* 
.0306* 
17 NCAC 7B .0118 
.1602* 
.1702* 
.1802* 
.3103 
.3106* 
.4202 
.4501 
21 NCAC 60 .0204 
.0207* 
63 .0306* 
23 NCAC 2D .0325* 
3A .0113* 



11 


08 


NCR 


472 


11 


08 


NCR 


472 


11 


08 


NCR 


472 


11 


08 


NCR 


472 


11 


04 


NCR 


190 


11 


08 


NCR 


495 


11 


08 


NCR 


495 


11 


08 


NCR 


495 


11 


08 


NCR 


495 


11 


08 


NCR 


495 


11 


06 


NCR 


357 


11 


06 


NCR 


357 


11 


06 


NCR 


357 


11 


12 


NCR 


998 


11 


12 


NCR 


998 


11 


12 


NCR 


998 


11 


12 


NCR 


998 


11 


12 


NCR 


998 


11 


12 


NCR 


998 


11 


12 


NCR 


998 


11 


12 


NCR 


998 


11 


10 


NCR 


839 


11 


10 


NCR 


839 


11 


03 


NCR 


118 


11 


09 


NCR 


585 


11 


09 


NCR 


585 



TITLE 10 - DEPARTMENT OF HUMAN 
RESOURCES 

CHAPTER 3 - FACILITY SERVICES 

SUBCHAPTER 3R - CERTIFICATE OF NEED 
REGULATIONS 

SECTION .3000 - STATE MEDICAL FACILITIES 
PLAN 

.3040 REALLOCATIONS AND ADJUSTMENTS 

(a) REALLOCATIONS. 

(1) Reallocations shall be made only to the extent that 
10 NCAC 3R .3030 determines that a need exists 
after the inventory is revised and the need 
determination is recalculated. 

(2) Beds or services which are reallocated once in 
accordance with this Rule shall not be reallocated 
again. Rather, the Medical Facilities Planning 
Section shall make any necessary changes in the 
next published amendment to 10 NCAC 3R .3030. 

(31 Dialysis stations that are withdrawn, relinquished, 
not applied for or. decertified shall not be 
reallocated. Instead. any necessary 

redetermination of need shall be made in the next 
scheduled publication of the Semiannual Dialysis 
Report. 



(41 (3) Appeals of Certificate of Need Decisions on 
Applications. Need determinations of beds or 
services for which the CON Section decision has 
been appealed shall not be reallocated until the 
appeal is resolved. 

(A) Appeals Resolved Prior to September 17: If 
an appeal is resolved in the calendar year 
prior to September 17, the beds or services 
shall not be reallocated by the CON Section; 
rather the Medical Facilities Planning 
Section shall make the necessary changes in 
the next amendment to 10 NCAC 3R .3030. 

(B) Appeals Resolved On Or After September 
17: If the appeal is resolved on or after 
September 17 in the calendar year, the beds 
or s e i vic e s services, except for dialysis 
stations, shall be made available for a 
review period to be determined by the CON 
Section, but beginning no earlier than 60 
days from the date that the appeal is 
resolved. Notice shall be given mailed by 
the Certificate of Need Section to all 
persons on the mailing list for the State 
Medical Facilities Plan, no less than 45 days 
prior to the due date for receipt of new 
applications. 

(4) Dialysis sta t ions tha t aie withdrawn; relinquished, 

not — applied — for — en — deceitified — shall — not — be 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1450 



APPROVED RULES 



icallucdted. 



Instead, 



-any iiece&saiy 

led e t e iminatiun uf need shall b e mad e in the n e xt 
schedul e d publica t ion uf the S e miannual Dialysis 
Repuit. 

(5) Withdrawals and Relinquishments. Except for 
dialysis stations, a A need determination for which 
a certificate of need is issued, but is subsequently 
withdrawn or relinquished, is available for a 
review period to be determined by the Certificate 
of Need Section, but beginning no earlier than 60 
days from: 

(A) the last date on which an appeal of the 
notice of intent to withdraw the certificate 
could be filed if no appeal is filed, 

(B) the date on which an appeal of the 
withdrawal is finally resolved against the 
holder, or 

(C) the date that the Certificate of Need Section 
receives from the holder of the certificate of 
need notice that the certificate has been 
voluntarily relinquished. 

Notice of the scheduled review period for the 
reallocated services or beds shall be given mailed 
by. the Certificate of Need Section to all persons on 
the mailing list for the State Medical Facilities 
Plan, no less than 45 days prior to the due date for 
submittal of the new applications. 

(6) Need Determinations for which No Applications 
are Received 

(A) Services or Beds with Scheduled Review in 
the Calendar Year on or Before October 1: 
Need determinations, or portions of such 
need, for services or beds in this category 
include long-term nursing care beds, home 
health agencies or offices, hospice home 
care programs, hospice inpatient beds, and 
beds in intermediate care facilities for the 
mentally retarded (ICF/MR) with the 
exception of ICF/MR need determinations 
with a scheduled review that begins after 
October 1. The Certificate of Need Section 
shall not reallocate the services or beds in 
this category for which no applications were 
received, because the Medical Facilities 
Planning Section will have sufficient time to 
make any necessary changes in the 
determinations of need for these services or 
beds in the next annual amendment to 10 
NCAC 3R .3030. 

(B) Services or Beds with Scheduled Review in 
the Calendar Year After October 1: Need 
determinations for services or beds in this 
category include acute care beds, psychiatric 
beds, substance abuse beds, ICF/MR beds, 
bone marrow transplantation services, burn 
intensive care services, neonatal intensive 
care services, open heart surgery services, 



solid organ transplantation services, air 
ambulance equipment, cardiac angioplastic 
equipment, cardiac catheterization 

equipment, heart-lung bypass machin e , 
machines, gamma knif e knives , 
lithotriptors, magnetic resonance imaging 
scamiei , scanners, positron emission 
tomography scanners, major medical 
equipment as defined in G.S. 13 1E- 
176(14f), diagnostic centers and oncology 
treatment centers for which review 
commences after October 1 . A need 
determination in this category for which no 
application has been received by the last due 
date for submittal of applications shall be 
available to be applied for in the second 
Category I review period in the next 
calendar year for the applicable HSA. 
Notice of the scheduled review period for 
the reallocated beds or services shall be 
giv e n mailed by the Certificate of Need 
Section to all persons on the mailing list for 
the State Medical Facilities Plan, no less 
than 45 days prior to the due date for 
submittal of new applications. 
(7) Need Determinations not Awarded because 
Application Disapproved. 

(A) Disapproval in the Calendar Year prior to 
September 17: Need determinations or 
portions of such need for which applications 
were submitted but disapproved by the 
Certificate of Need Section before 
September 17, shall not be reallocated by 
the Certificate of Need Section. Instead the 
Medical Facilities Planning Section shall 
make the necessary changes in the next 
annual amendment to 10 NCAC 3R .3030 if 
no appeal is filed. 

(B) Disapproval in the Calendar Year on or 
After September 17: Need determinations 
or portions of such need for which 
applications were submitted but disapproved 
by the Certificate of Need Section on or 
after September 17, shall be reallocated by 
the Certificate of Need Sec t ion. Section 
except for dialysis stations. A need in this 
category shall be available for a review 
period to be determined by the Certificate of 
Need Section but beginning no earlier than 
95 days from the date the application was 
disapproved, if no appeal is filed. Notice of 
the scheduled review period for the 
reallocation shall be mailed by the 
Certificate of Need Section to aU persons on 
the mailing list for the State Medical 
Facilities Plan no less than 80 days prior to 
the due date for submittal of the new 



1451 



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11:19 



APPROVED RULES 



applications. 
(8) Reallocation of. Delicensed and Decertified 
ICF/MR Beds. If an ICF/MR facility's license 
and Medicaid certification are relinquished or 
revoked, the ICF/MR beds in the facility shall be. 
reallocated by the Department of Human 
Resources. Division of Facility Services. Medical 
Facilities Planning Section pursuant to the 
provisions of the following sub-parts. The 
reallocated beds shall only be used to convert five- 
bed ICF/MR facilities into six-bed facilities. 

(A) If the number of five-bed ICF/MR facilities 
in the mental health planning region in 
which the beds are located equals or exceeds 
the number of reallocated beds, the beds 
shall be reallocated solely within the 
planning region after considering the 
recommendation of the Regional Team of 
Developmental Disabilities Services 
Directors. 

(B) If the number of five-bed ICF/MR facilities 
in the mental health planning region in 
which the beds are located is less than the 
number of reallocated beds, the Medical 
Facilities Planning Section shall reallocate 
the excess beds to other planning regions 
after considering the recommendation of the 
Developmental Disabilities Section in the 
Division of Mental Health. Developmental 
Disabilities, and Substance Abuse Services. 
The Medical Facilities Planning Section 
shall then allocate the beds among the 
planning areas within those planning regions 
after considering the recommendation of the 
appropriate Re gional Teams of 
Developmental Disabilities Services 
Directors. 

(O The Department of Human Resources. 
Division of Facility Services. Certificate of 
Need Section shall schedule reviews of 
a pplications for these beds pursuant to 
Subparagraph (a)(5) of this Rule. 
fb) CHANGES IN NEED DETERMINATIONS. 
(1) The need determinations in 10 NCAC 3R .3030 

and .3032 shall be revised continuously throughout 

+995 the calendar year to reflect all changes in the 

inventories of: 

(A) the health services listed at G.S. 131E-176 
(16)f; 

(B) health service facilities; 

(C) health service facility beds; 

(D) dialysis stations; 

(E) the equipment listed at G.S. 131E-176 
(16)fl; and 

(F) mobile medical equipment, 

as those changes are reported to the Medical 
Facilities Planning Section. However, need 



determinations in 10 NCAC 3R .3030 or .3032 
shall not be reduced if the relevant inventory is 
adjusted upward 30 days or less prior to the first 
day of the applicable review period. 

(2) Inventories shall be updated to reflect: 

(A) decertification of home health agencies or 
offices offices, intermediate care facilities 
for the mentally retarded, and dialysis 
stations; 

(B) delicensure of health service facilities and 
health service facility beds; 

(C) demolition, destruction, or 
decommissioning of equipment as listed at 
G.S. 131E-176(16)fl ands; 

(D) elimination or reduction of a health service 
as listed at G.S. 131E-176(16) f; 

(E) psychiatric beds licensed pursuant to G.S. 
131E-184(c); 

(F) certificates of need awarded, relinquished, 
or withdrawn, subsequent to the preparation 
of the inventories in the State Medical 
Facilities Plan; and 

(G) corrections of errors in the inventory as 
reported to the Medical Facilities Planning 
Section. 

(3) Any person who is interested in applying for a new 
institutional health service for which a need 
determination is made in 10 NCAC 3R .3030 or 
.3032 may obtain information about updated 
inventories and need determinations from the 
Medical Facilities Planning Section. 

History Note: Filed as a Temporary Amendment Eff. 

December 31, 1994 for a period of 180 days or until the 

permanent rule becomes effective, whichever is sooner; 

Filed as a Temporary Amendment Eff. December 31, 1993 

for a period of 180 days or until the permanent rule becomes 

effective, whichever is sooner; 

Filed as a Temporary Rule Eff. May 31, 1992 for a period of 

153 days to expire on October 31, 1992; 

Authority G.S. 131E-176(25); 13 IE- 177(1); 1 3 IE- 183(b); 

Eff. November 2, 1992; 

Amended Eff. April 1, 1995; April 1, 1994; January 4, 1993; 

Temporary Amendment Eff. January 1, 1996; 

Amended Eff. April 1, 1997. 

.3050 POLICIES 

(a) ACUTE CARE FACILITIES AND SERVICES 

(1) Use of Licensed Bed Capacity Data for Planning 
Purposes. For planning purposes the number of 
licensed beds shall be determined by the Division 
of Facility Services in accordance with standards 
found in 10 NCAC 3C .1510 - B e d Capacity. JO 
NCAC 3C - Section .6200 and .3102(dV 

(2) Utilization of Acute Care Hospital Bed Capacity. 
Conversion of underutilized hospital space to other 
needed purposes shall be considered an alternative 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1452 



APPROVED RULES 



to new construction. Hospitals falling below 
utilization targets in 10 NCAC 3R .3050(a)(4) are 
assumed to have underutilized space. Any such 
hospital proposing new construction must clearly 
demonstrate that it is more cost-effective than 
conversion of existing space. 
(3) Exemption from Plan Provisions for Certain 
Academic Medical Center Teaching Hospital 
Projects. Projects for which certificates of need 
are sought by academic medical center teaching 
hospitals may qualify for exemption from 
provisions of 10 NCAC 3R .3030. 

(A) The State Medical Facilities Planning 
Section shall designate as an Academic 
Medical Center Teaching Hospital any 
facility whose application for such 
designation demonstrates the following 
characteristics of the hospital: 

(j) (A) Exemption fiuin Plan provisions 
fui ceitaiu Aidd e mk Medical Ceut e i 
T e aching Hospital piuj e cts tha t s e rve 
Serves as a primary teaching site for 
a school of medicine and at least one 
other health professional school, 
providing undergraduate, graduate 
and postgraduate education. 

£ii) {-&) — Ex e mption fiom provisions of 
10 NCAC 3R .3030 shall b e granted 
tu piuj e its submi tte d by Aidd e mic 
Medical C e ut e i Teaching Hospitals 
d e signated piiui tu January 1, 1 99 
and huuses Houses extensive basic 
medical science and clinical research 
programs, patients and equipment. 
equipm e nt, — anri — which — piujects 
uuinply with uu e uf the following 
condi t ions: 

(iii) Serves the treatment needs of patients 
from a broad g eo graphic area throug h 
multiple medical specialties. 

(B) Exemption from the provisions of 10 NCAC 
3R .3030 shall be granted to projects 
submitted by Academic Medical Center 
Teaching Hospitals designated prior to 
January 1. 1990 which projects comply with 
one of the following conditions: 

(i) Necessary to complement a specified 
and approved expansion of the 
number or types of students, 
residents or faculty, as certified by 
the head of the relevant associated 
professional school; or 
(ii) Necessary to accommodate patients, 
staff or equipment for a specified and 
approved expansion of research 
activities, as certified by the head of 
the entity sponsoring the research; or 



(iii) Necessary to accommodate changes 
in requirements of specialty 
education accrediting bodies, as 
evidenced by copies of documents 
issued by such bodies. 

(C) S e izes th e tieatmeut nuds of patients fiuin 

a. bioad gcogiaplnc area tluuugh multiple 
m e dical specialties. 
(4) Reconversion to Acute Care. Facilities 

redistributing beds from acute care bed capacity to 
rehabilitation or psychiatric use shall obtain a 
certificate of need to convert this capacity back to 
acute care. Application for such reconversion to 
acute care of beds converted to psychiatry or 
rehabilitation shall be evaluated against the 
hospital's utilization in relation to target 
occupancies used in determining need shown in 10 
NCAC 3R .3030 without regard to the acute care 
bed need shown in the Rule. These target 
occupancies are: 



Licensed Bed Capacity 


Percent 


Occupancy 


1 - 49 




65 


50 - 99 




70 


100 - 199 




75 


200 - 699 




80 


700 - + 




81.5 



(5) Multi-Specialty Ambulatory Surgery. After 
applying other required criteria, when superiority 
among two or more competing ambulatory surgical 
facility certificate of need applications is uncertain, 
favorable consideration shall be given to "multi- 
specialty programs" over "specialty programs" in 
areas where need is demonstrated in 10 NCAC 3R 
.3030. A multi-specialty ambulatory surgical 
program means a program providing services in at 
least three of the following areas; gynecology, 
otolaryngology, plastic surgery, general surgery, 
ophthalmology, orthopedics, urology, and oral 
surgery. An ambulatory surgical facility shall 
provide at least two designated operating rooms 
with general anesthesia capabilities, and at least 
one designated recovery room. 

(6) Distribution of Inpatient Rehabilitation Beds. After 
applying other required criteria, when superiority 
among two or more competing rehabilitation 
facility certificate of need applications is uncertain, 
favorable consideration shall be given to proposals 
that make rehabilitation services more accessible to 
patients and their families or are part of a 
comprehensive regional rehabilitation network. 

(b) LONG-TERM CARE FACIIJTIES AND SERVICES. 

(1) Provision of Hospital-Based Long-Term Nursing 

Care. A certificate of need may be issued to a 

hospital which is licensed under G.S. 13 IE, 

Article 5, and which meets the conditions set forth 



1453 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



APPROVED RULES 



below and ulh e i relevant rules, in 10 NCAC 3_K 
.1100. to convert up to ten beds from its licensed 
acute care bed capacity for use as hospital-based 
long-term nursing care beds without regard to 
determinations of need in 10 NCAC 3R .3030 if 
the hospital: 

(A) is located in a county which was designated 
as non-metropolitan by the U. S. Office of 
Management and Budget on January 1, 
-r995r 1996: and 

(B) on January 1 , 1 99 5, 1996. had a licensed 
acute care bed capacity of 150 beds or less. 

The certificate of need shall remain in force as 
long as the Department of Human Resources 
determines that the hospital is meeting the 
conditions outlined in this Rule. 
"Hospital-based long-term nursing care" is defined 
as long-term nursing care provided to a patient 
who has been directly discharged from an acute 
care bed and cannot be immediately placed in a 
licensed nursing facility because of the 
unavailability of a bed appropriate for the 
individual's needs. Determination of the patient's 
need for hospital-based long-term nursing care 
shall be made in accordance with criteria and 
procedures for detenriining need for long-term 
nursing care administered by the Division of 
Medical Assistance and the Medicare program. 
Beds developed under this Rule are intended to 
provide placement for residents only when 
placement in other long-term care beds is 
unavailable in the geographic area. Hospitals 
which develop beds under this Rule shall discharge 
patients to other nursing facilities with available 
beds in the geographic area as soon as possible 
where appropriate and permissible under applicable 
law. Necessary documentation including copies of 
physician referral forms (FL 2) on all patients in 
hospital-based nursing units shall be made 
available for review upon request by duly 
authorized representatives of licensed nursing 
facilities. 

For purposes of this rule, beds in hospital-based 
long-term nursing care shall be certified as a 
"distinct part" as defined by the Health Care 
Financing Administration. Beds in a "distinct 
part" shall be converted from the existing licensed 
bed capacity of the hospital and shall not be 
reconverted to any other category or type of bed 
without a certificate of need. 
An application for a certificate of need for 
reconverting beds to acute care shall be evaluated 
against the hospital's service needs utilizing target 
occupancies shown in 10 NCAC 3R .3050(a)(4), 
without regard to the acute care bed need shown in 
10 NCAC 3R .3030. A certificate of need issued 
for a hospital-based long-term nursing care unit 



shall remain in force as long as the following 
conditions are met: 

(i) the beds shall be certified for 

participation in the Title XVTIJ 

(Medicare) and Title XDC (Medicaid) 

Programs; 

(ii) the hospital discharges residents to 

other nursing facilities in the 

geographic area with available beds 

when such discharge is appropriate 

and permissible under applicable law; 

(iii) patients admitted shall have been 

acutely ill inpatients of an acute 

hospital or its satellites immediately 

preceding placement in the unit. 

The granting of beds for hospital-based long-term 

nursing care shall not allow a hospital to convert 

additional beds without first obtaining a certificate 

of need. Where any hospital, or the parent 

corporation or entity of such hospital, any 

subsidiary corporation or entity of such hospital, 

or any corporation or entity related to or affiliated 

with such hospital by common ownership, control 

or management: 

(I) applies for and receives a 
certificate of need for long- 
term care bed need 
determinations in 10 NCAC 
3R .3030; or 
(II) currently has nursing home 
beds licensed as a part of the 
hospital under G.S. 131E, 
Article 5; or 
(TO) currently operates long-term 
care beds under the Federal 
Swing Bed Program (P.L. 96- 
499), 
such hospital shall not be eligible to apply for a 
certificate of need for hospital-based long-term 
care nursing beds under this Rule. Hospitals 
designated by the State of North Carolina as Rural 
Primary Care Hospitals pursuant to section 1820(f) 
of the Social Security Act, as amended, which 
have not been allocated long-term care beds under 
provisions of G.S. 131E-175 through 131E-190 
may apply to develop beds under this Rule. 
However, such hospitals shall not develop long- 
term care beds both to meet needs determined in 
10 NCAC 3R .3030 and this Rule. Beds certified 
as a "distinct part" under this Rule shall be counted 
in the inventory of existing long-term care beds 
and used in the calculation of unmet long-term care 
bed need for the general population of a planning 
area. Applications for certificates of need pursuant 
to this Rule shall be accepted only for the March 1 
review cycle. Beds awarded under this Rule shall 
be deducted from need determinations for the 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1454 



APPROVED RULES 



county as shown in 10 NCAC 3R .3030. 

Continuation of this Rule shall be reviewed and 

approved by the Department of Human Resources 

annually. Certificates of need issued under 

policies analogous to this Rule in State Medical 

Facilities Plans subsequent to the 1986 Plan are 

automatically amended to conform with the 

provisions of this Rule at the effective date of this 

Rule. The Department of Human Resources shall 

monitor this program and ensure that patients 

affected by this Rule are receiving appropriate 

services, and that conditions under which the 

certificate of need was granted are being met. 

(2) Plan Exemption for Continuing Care Facilities. 

(A) Qualified continuing care facilities may 

include from the outset, or add or convert 

bed capacity for long-term nursing care 

without regard to the bed need shown in 10 

NCAC 3R .3030. To qualify for such 

exemption, applications for certificates of 

need shall show that the proposed long-term 

nursing bed capacity: 

(i) Will only be developed concurrently 

with, or subsequent to construction 

on the same site, of facilities for both 

of the following levels of care: 

independent living 

accommodations (apartments 
and homes) for persons who 
are able to carry out normal 
activities of daily living 
without assistance; such 
accommodations may be in the 
form of apartments, flats, 
houses, cottages, and rooms 
within a suitable structure; 
(II) domiciliary care (home for the 
aged) beds for use by persons 
who, because of age or 
disability require some 
personal services, incidental 
medical services, and room 
and board to assure their 
safety and comfort, 
(ii) Will be used exclusively to meet the 
needs of persons with whom the 
facility has continuing care contracts 
(in compliance with the Department 
of Insurance statutes and rules) who 
have lived in a non-nursing unit of 
the continuing care facility for a 
period of at least 30 days. 
Exceptions shall be allowed when 
one spouse or sibling is admitted to 
the nursing unit at the time the other 
spouse or sibling moves into a non- 
nursing unit, or when the medical 



condition requiring nursing care was 

not known to exist or be imminent 

when the individual became a party 

to the continuing care contract. 

Financial consideration paid by 

persons purchasing a continuing care 

contract shall be equitable between 

persons entering at the "independent 

living" and "domiciliary" levels of 

care. 

(iii) Reflects the number of beds required 

to meet the current or projected needs 

of residents with whom the facility 

has an agreement to provide 

continuing care, after making use of 

all feasible alternatives to 

institutional nursing care. 

(iv) Will not be certified for participation 

in the Medicaid program. 

(B) One half of the long-term nursing beds 

developed under this exemption shall be 

excluded from the inventory used to project 

bed need for the general population. 

Certificates of need issued under policies 

analogous to this Rule in State Medical 

Facilities Plans subsequent to the 1985 

SMFP are automatically amended to 

conform with the provisions of this Rule at 

the effective date of this Rule. Certificates 

of need awarded pursuant to the provisions 

of Chapter 920, Session Laws 1983, or 

Chapter 445, Session Laws 1985 shall not 

be amended. 

(3) Development of Home Health Services. After 
applying other required criteria, when superiority 
among two or more competing home health agency 
or office certificate of need applications is 
uncertain, favorable consideration shall be given to 
proposals which: 

(A) provide an expanded scope of services 
(including nursing, physical therapy, speech 
therapy, and home health aide service); 

(B) provide the widest range of treatments 
within a given service; and 

(C) have the ability to offer services on a seven 
days per week basis as required to meet 
patient needs, needs: and 

( D) provide specialized services to address the 
needs of at least one of the following 
groups: nursing home patients in transition 
to the community. HIV/ AIDS patients- 
Alzheimer's Disease/senile dementia 
patients, or underserved patients in rural 
counties. 

(4) Need Determination Upon Termination of 
County's Sole Home Health Agency. When a 
home health agency's board of directors, or in the 



1455 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



APPROVED RULES 



case of a public agency, the responsible public 
body, votes to discontinue the agency's provision 
of home health services; and 

(A) the agency is the only home health agency 
with an office physically located in the 
county; and 

(B) the agency is not being lawfully transferred 
to another entity; 

need for a new home health agency or office in the 
county is thereby established through this Rule. 
Following receipt of written notice of such 
decision from the home health agency's chief 
administrative officer, the Certificate of Need 
Section shall give public notice of the need for one 
home health agency or office in the county, and 
the dates of the review of applications to meet the 
need. Such notice shall be given no less than 45 
days prior to the final date for receipt of 
applications in a newspaper serving the county and 
to home health agencies located outside the county 
reporting serving county patients in the most 
recent licensure applications on file. 

(5) Availability of Dialysis Care. After applying other 
required criteria, when superiority among two or 
more competing dialysis facility or station 
certificate of need applications is uncertain, 
favorable consideration shall be given to applicants 
proposing to provide or arrange for: 

(A) home training and backup for patients 
suitable for home dialysis in the ESRD 
dialysis facility or in a facility that is a 
reasonable distance from the patient's 
residence; 

(B) ESRD dialysis service availability at times 
that do not interfere with ESRD patients' 
work schedules; 

(C) services in rural, remote areas. 

(6) Determination of Need for Additional Nursing 
Beds in Single Provider Counties. When a long- 
term care facility with fewer than 80 nursing care 
beds is the only nursing care facility within a 
county, it may apply for a certificate of need for 
additional nursing beds in order to bring the 
minimum number of beds available within the 
county to no more than 80 nursing beds without 
regard to the nursing bed need determination for 
that county as listed in 10 NCAC 3R .3030. 

(c) MENTAL HEALTH FACILITIES AND SERVICES. 

(1) Appropriate Provision of Care. Hospitalization 
shall be considered the most restrictive form of 
therapeutic intervention or treatment and shall be 
used only when this level of 24-hour care and 
supervision is required to meet the patient's health 
care needs. 

(2) Linkages Between Treatment Settings. Anyone 
applying for a certificate of need for psychiatric, 
ICF/MR or substance abuse beds shall document 



that the affected area mental health, developmental 
disabilities and substance abuse authorities have 
been contacted and invited to comment on the 
proposed services, relative to their endorsement of 
the project and involvement in the development of 
a client admission and discharge agreement. 

(3) Transfer of Beds from State Psychiatric Hospitals 
to Community Facilities. Beds in the State 
psychiatric hospitals used to serve short-term 
psychiatric patients may be relocated to community 
facilities. However, before beds are transferred 
out of the State psychiatric hospitals, appropriate 
services and programs shall be available in the 
community. The process of transferring beds shall 
not result in a net change in the number of 
psychiatric beds available, but rather in the 
location of beds counted in the existing inventory. 
State hospital beds which are relocated to 
community facilities shall be closed within ninety 
days following the date the transferred beds 
become operational in the community. Facilities 
proposing to operate transferred beds shall commit 
to serve the type of short-term patients normally 
placed at the State psychiatric hospitals. To help 
ensure that relocated beds will serve those persons 
who would have been served by the State 
psychiatric hospitals, a proposal to transfer beds 
from a State hospital shall include a written 
memorandum of agreement between the area 
MH/DD/SAS program serving the county where 
the beds are to be located, the Secretary of Human 
Resources, and the person submitting the proposal. 

(4) Inpatient Psychiatric Services for Children and 
Adolescents. Inpatient psychiatric treatment of 
children and adolescents which is more extensive 
than stabilization shall occur in units which are 
separate and distinct from both adult psychiatric 
units and general pediatric units. In order to 
maximize efficiency and ensure the availability of 
a continuum of care, psychiatric beds for children 
and adolescents shall be developed in conjunction 
with outpatient treatment programs. 

(5) Involuntarily Committed Patients. All certificate 
of need applications for psychiatric beds shall 
indicate the proponents' willingness to be 
designated to serve involuntarily committed 
patients. 

(6) Substance Abuse Programs to Treat Adolescents. 
Adolescents shall receive substance abuse 
treatment services that are distinct from services 
provided to adults. 

(7) Determination of Intermediate Care Bed Need for 
Mentally Retarded/ Developmentally Disabled 
Persons. After applying other required criteria, 
when superiority among two or more competing 
ICF/MR certificate of need applications is 
uncertain, favorable consideration shall be given to 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1456 



APPROVED RULES 



counties that do not have ICF/MR group homes 
when such counties are part of a multi-county area 
for which a need is shown in 10 NCAC 3R .3030. 
(8) Transfer of Beds from State Mental Retardation 
Centers. Facilities proposing to transfer ICF/MR 
beds from State mental retardation centers to 
communities shall demonstrate that they are 
committed to serving the same type of residents 
normally served in the State mental retardation 
centers. To ensure that relocated beds will serve 
those persons, any certificate of need application 
proposing to transfer beds under this rule must 
meet the requirements of Chapter 858 of the 1983 
Session Laws. The application for transferred beds 
shall include a written agreement by the applicant 
with the following representatives which outlines 
the operational aspects of the bed transfers: 
Director of the Area MH/DD/SAS Program 
serving the county where the program is to be 
located; the Director of the applicable State Mental 
Retardation Center; the Chief of Developmental 
Disability Services in the DMH/DD/SAS; and the 
Secretary of the Department of Human Resources. 

Historx Note: Filed as a Temporary Amendment Eff. 

December 31 , 1994 for a period of 180 days or until the 

permanent rule becomes effective, whichever is sooner; 

Filed as a Temporary Amendment Eff. December 31, 1993 

for a period of 180 days or until the permanent rule becomes 

effective, whichever is sooner; 

Authority G.S. 131E-176(25); 13 IE- 177(1); 131E-183(b); 

Eff. January 4, 1993; 

Amended Eff- April 1, 1995; April 1, 1994; 

Temporary Amendment Eff. January 1, 1996; 

Amended Eff. April L 1997. 

SUBCHAPTER 3U - CHILD DAY CARE 
STANDARDS 

SECTION .0100 - PURPOSE AND DEFINITIONS 

.0102 DEFINITIONS 

The terms and phrases used in this Subchapter shall be 
defined as follows except when the content of the rule clearly 
requires a different meaning. The definitions prescribed in 
G.S. 110-86 also apply to these Rules. 

(1) "Age appropriate" means suitable to the 
chronological age range and developmental 
characteristics of a specific group of children. 

(2) "Agency" means th e Child Day Cai e S e itiuu. 
Division of rdiility S e i vices. Child Development. 
Department of Human Resources, located at ?©+ 
Baibuui Drive. 319 Chapanoke Drive. Suite 120. 
Raleigh, North Carolina 27603. 

(3) "Appellant" means the person or persons who 
request a contested case hearing. 

(4) "A" license means the license issued to day care 



operators who meet the mini mum requirements for 
the legal operation of a child day care facility 
pursuant to G.S. 110-91 and applicable rules in 
this Subchapter. 

(5) "AA" license means the license issued to day care 
operators who meet the higher voluntary standards 
promulgated by the Child Day Care Commission 
as codified in Section .1600 of this Subchapter. 

(6) "Child Care Program" means a provider of child 
day care services and may consist of a single center 
or home, or a group of centers or homes or both, 
which are operated by one owner or supervised by 
a common sponsor. 

(7) "Child day care provider" as defined by G.S. 110- 
90.2 and used in Section .2700 of this Subchapter, 
includes but is not limited to the following 
employees: facility directors, administrative staff, 
teachers, teachers' aides, cooks, maintenance 
personnel and drivers. 

(8) "Child Development Associate Credential" means 
the national early childhood credential 
administered by the Council for Early Childhood 
Professional Recognition. 

(9) f7-) "Day care center" means any day care facility 
as defined in G.S. 110-86(3) which is authorized 
to provide day care to 13 or more children when 
any child present is preschool-age according to the 
definition of preschool-aged child in this Rule. 

(10) (8) "Day care home" means any child day care 
home as d e fin e d in G.S. 1 10-86(4) which provides 
day cai e uu a legulai basis uf at least uiice pel 
week fui muic than fuui liouis, but l e ss than 24 
hours p e r day . Child care arrangements excluded 
from the definition of day care facility in G.S. 
1 10-86(3) are also excluded as day care homes. 

(11) (9) "Department" means the Department of 
Human Resources. 

(12) (16) "Division" means the Division of Facili t y 
Senric e s Child Development within the 
Department of Human Resources. 

( 13) f+r) "Drop-in care" means a child day care 
arrangement where children attend on an 
intermittent, unscheduled basis. 

(14) tf-2) "Group" means the children assigned to a 
specific caregiver, or caregivers, to meet the 
staff/child ratios set forth in G.S. 110-91(7) and 
this Subchapter, using space which is identifiable 
for each group. 

(15) H-3) "Large child day care center" or "large 
center" means any day care c e n t er facility which is 
authorized to provide care to 80 or more children. 

(16) (+4) "Large child day care home" or "large home" 
means any day care facility as defined in G.S. 
1 10-86(3) which is authorized to routinely provide 
care to a maximum of 12 children when any child 
present is preschool-aged or, when all children 
present are school-aged, to a maximum of 15 



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APPROVED RULES 



£17} 

am 



£19) 



£20) 



an 



£22} 



£23} 
£24} 



£25} 



children. Provided the appropriate child/staff 
ratios are not exceeded, the large home may exceed 
these maximum capacities by no more than two 
children: 

(a) during the school year for no more than one 
hour immediately after school; and 

(b) during the two week period preceding and 
the two week period following the public 
school year. 

(r5) "Licensee" means the person or entity that is 
granted permission by the State of North Carolina 
to operate a day care center. 

(-r6) "Licensing Manual" means the document 
published by the Child Day Care Section which 
contains th e piuiedmes and standards these Rules 
required by North Carolina law, the Commission 
and the Department for licensure of child day care 
centers. The licensing manual may be obtained 
from the Section at the address given in Paiagiaph 
f¥) Item £2} of this Rule. 

(t7) "Medium child day care center" or "medium 
center" means any day care i e utei ' facility which is 
authorized to provide day care to at least 30 but no 
more than 79 children. 

"North Carolina Early Childhood Credential" 
means the state early childhood credential that is 
based on completion of coursework and standards 
found in the North Carolina Early Childhood 
Instructor Manual published jointly under the 
authority of the Department and the North 
Carolina Community College System. These 
standards are incorporated by reference and include 
subsequent amendments. A copy of the North 
Carolina Early Childhood Credential requirements 
is on file at the Division of Child Development. 
319 Chapanoke Drive. Raleigh. North Carolina 
and will be available for public inspection during 
re gular business hours. 

(+8) "Operator" means the person or entity held 
responsible by law as the owner of a child day care 
business. The terms "operator", "sponsor" or 
"licensee" are may be used interchangeably. 
(+9) "Part-time care arrangement" means a child 
uu e diiangemeut child day care as defined in G.S. 
110-86 which provides care on less than a full-time 
basis. Examples uf pait-tiiu e care arrang e m e nts 



befui e /afl e i — stliuul, — and 



are — certain — drop-in, 
seasonal piugiams. 

(20) "Passageway" means a hall or corridor. 

(21) "Piescliuul (fuimeily pieschool-ag e d) child" 
"Preschooler" or "preschool -ag ed child" means 
any child under 13 years of age who does not fit 
the definition of school-aged child in this Rule. 

(22) "Provisional License" means the type of 
license issued to a center which does not conform 
in every respect with the standards for an "A" 
license. 



(261 (23) "Registrant" means the person or entity that 
is granted permission by the State of North 
Carolina to operate a day care home. 

(27) (24) "School -aged child" means any child who is 
at least five years old on or before October 16 of 
the current school year and who is attending, or 
has attended, a public or private grade school or 
kindergarten. 

(28) (25) "Section" means the Child Day Care S e Uiuu, 
Division of Facili t y — Seiviies, — Depai tnieut of 
Human R e suunes. — The S e ction is located at th e 
address given in Paragraph (1) of this Rul e . Child 
Development. 

(29) (26) "Small day care center" or "small center" 
means any day care c e nter facility which is 
authorized to provide day care for a maximum of 
29 children. 

(30) (27) "Small day care home" or "small home" 
means the child care arrangements defined in G.S. 
110-86(4) which are subject to the registration 
requirements set forth in Section .1700 of this 
Subchapter. 

(31) (28) "Special Provisional License" means the type 
of license which may be issued a day care operator 
pursuant to the conditions of G.S. 110-88(6a) 
when child abuse or neglect has occurred in the 
center. 

(32) (29) "Substitute" means any person who 
temporarily assumes the duties of a regular staff 
person for a time period not to exceed two 
consecutive months. 

(33) (30) "Teacher" means the caregiver who has 
responsibility for planning and implementing the 
daily program of activities for each group of 
children. 

(34) (3-r) "Temporary care arrangement" means any 
child day care arrangement required — to — be 
regulat e d pursuant to G.S. 110-86 which provides 
either drop-in care or care on a seasonal or other 
part-time basis, basis and is required to be 
re gulated pursuant to G.S. 110-86. 

(35) (32) "Temporary license" means the license which 
may be issued when a licensed center changes 
location or changes ownership. 

(36) (33) "Volunteer" means a person who works in a 
day care center or day care home and is not 
monetarily compensated by the center or home. 

History Note: Authority G.S. 110-88; 143B- 168.3 ; 

Eff. January 1, 1986; 

Amended Eff. April 1, 1992; October 1, 1991; October 1, 

1990; November 1, 1989; 

Temporary Amendment Eff. January 1, 1996; 

Amended Eff. April 1. 1997. 

SECTION .0700 - HEALTH AND OTHER 
STANDARDS FOR CENTER STAFF 



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.0704 PRESERVICE REQUIREMENTS FOR 
ADMINISTRATORS 

(a) The on-site administrator who has overall 
responsibility for planning and administering the child care 
program shall meet the following requirements: 

(1) Be at least 21 years of age, and be literate; and 

(2) Have either a high school or general education 
diploma; and 

(3) Have two years of full-time verifiable child day 
care or early childhood work experience; or an 
undergraduate, graduate, or associate degree, with 
at least 12 semester hours in child development, 
child psychology, early childhood education or 
directly related field; or a Child Development 
Associate Credential; or completion of a 
community or technical college curriculum 
program in the area of child care or early 
ihildhuud, childhood: or one year of full-time 
verifiable child day care or early childhood work 
experience and a North Carolina Early Childhood 
Credential; and 

(4) Have verification of having successfully 
completed, or be currently enrolled in, 2 semester 
hours, 3 quditei hours, or 55 32 clock hours, of 
training in the area of child care program 
administration; or, have one year experience 
performing administrative responsibilities; or, 
have one year experience performing 
administrative responsibilities and have another 
full-time staff person, who meets (1) through (3) 
of this Paragraph who is responsible for planning 
and implementing the daily program at the center 
to comply with Sections .0500 and .0600 of this 
Subchapter. 

(b) The administrator of a child day care program who 
does not routinely work on site, or who is responsible for 
more than one child day care arrangement, shall have 
verification of having successfully completed, or be currently 
enrolled in, 2 semester hours. 3 ijUditei hums, or 53 32 clock 
hours, of training in child care program administration; or, 
have one year experience performing administrative 
responsibilities and have at least one full-time staff person on 
site at each center who meets the requirements of ( 1 ) through 
(3) of Paragraph (a) of this Rule. 

(c) Any person who is at least 21 years old and literate 
who was employed as an on-site administrator in a day care 
program on or before September 1, 1986, shall be exempt 
from the provisions of Paragraphs (a) and (b) of this Rule. 

History Note: Authority G.S. 1 10-91(8); 143B-168.3; 
Eff. January 1, 1986; 

Amended Eff. April L 1997: November I, 1989; July 1, 
1988; January 1, 1987. 

.0710 PRESERVICE REQUIREMENTS FOR 
TEACHERS AND AIDES 

(a) The A teacher t each e i-cai e givei with i c spuusibility fui 



planning and implementing th e daily progiam foi each giuup 
uf diildieu shall be at least 18 years of age, literate, and have 
at least one of the following: 

(1) A high school or general education diploma and 
one of the following: 

(A) One year of verifiable experience working 
in a child day care center; or 

(B) Twenty additional hours of training within 
the first six months of employment; or 

(C) Successful completion of the Department of 
Public Instruction's Child Care Services 
Occupational Home Economics Program; or 

(D) A passing grade in at least the equivalent of 
four semester hours in child development at 
a regionally accredited college or uuiveisitv. 
university: or. 

(E) A North Carolina Early Childhood 
Credential. 

(2) A Child Development Associate Credential. 

(3) Graduation from a child care or early childhood 
curriculum program at a community college or 
technical college. 

(4) An undergraduate or graduate degree with at least 
the equivalent of four semester hours in child 
development. 

(5) Five years of verifiable experience working in 
child day care. 

(b) An aide or person responsible to the teacher 
teachei -cai egiv ei for assisting with planning and 
implementing the daily program shall be at least 16 years old 
and literate. 

History Note: Authority G. S. 1 10-91 (8); 143B-168. 3; 

Eff. July 1, 1988; 

Amended Eff. April L. 1997: October 1, 1991; November 1, 

1989. 

SECTION .2700 - CRIMINAL RECORDS CHECKS 

.2701 APPLICATION FOR PERMITS 

(a) Begumiiig with the dat e set forth in th e Division ' s 
iiiipl e iu e utdtiuii — schedule, — and — in In addition to the 



requirements set forth in Rtrle Rules .0302 of this Subihapt e i 
and hi Rul e . 1 702 . 1702. of this Subchapter the prospective 
child day care provider shall submit to the Division at the 
time of application the following forms: 

( 1 ) a certified criminal history check from the Clerk of 
Superior Court's office in the county or counties 
where the individual resides, has resided during 
the previous 12 months: 

(2) a signed Authority for Release of Information using 
the form provided by the Division; and 

(3) a completed fingerprint card using SBI form FD- 
258. 

If the prospective child day care provider has lived in North 
Carolina for less than five consecutive years immediately 
preceding the date the fingerprint card is completed, a second 



1459 



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APPROVED RULES 



fingerprint card shall be submitted in order to complete a 
national check. 

(b) The prospective child day. care provider shall sign and 
submit a statement declaring under penalty of perjury if he or 
she has been convicted of a crime other than a minor traffic 
violation. The prospective child day care provider shall 
maintain this statement on file to be available for review by 
a representative of the Division until the notice of 
qualification is received by the provider. If the prospective 
child day care provider has been convicted of a crime 
including, but not limited to, those specified in G.S. 110- 
90.2, the prospective child day care provider shall 
acknowledge on the statement that he or she is aware that the 
issuance of a permit is conditional pending approval by the 
Division. 

(c) If the prospective child day care provider has been 
convicted of a crime including, but not limited to, those 
specified in G.S. 110-90.2, he or she may submit to the 
Division additional information concerning the conviction 
that could be used by the Division in making the 
determination of the prospective child day care provider's 
qualification. The Division may consider the following in 
making their decision: length of time since conviction; nature 
of the crime; circumstances surrounding the commission of 
the offense or offenses; evidence of rehabilitation; number of 
prior offenses; and age of the individual at the time of 
occurrence. 

(d) A prospective child day care provider's refusal to 
complete the required criminal history record check 
paperwork is reasonable cause to deny issuance of a permit. 

(e) The Division shall notify the prospective child day 
care provider in writing of the determination by the Division 
of the individual's fitness to have responsibility for the safety 
and well-being of children based on the criminal history. 

(f) Determination by the Division that the prospective 
child day care provider is disqualified is reasonable cause to 
deny issuance of a permit. 

(g) If the prospective child day care provider is a firm, 
partnership, association, or corporation, the chief executive 
officer or other person serving in like capacity, or a person 
designated by the chief executive officer as responsible for 
the operation of the facility, shall complete the criminal 
history record check as specified in Paragraph (a) of this 
Rule. 

(h) When a Letter of Intent to Operate pursuant to G.S. 
110-106 and G.S. 110-106.1 is submitted to the Division, the 
person signing the Letter of Intent shall also submit all forms 
as required in Rule .2702(a) of this Section. 

(i) Determination by the Division that the person 
submitting the Letter of Intent is disqualified is reasonable 
cause to issue a Notice to Cease Operation. 

(j) Any child day care provider who owns or operates an 
existing child care program, and who is applying for a permit 
for an additional child care program within one year from the 
date of qualification that was based on fingerprinting, shall 
submit a certified criminal history check from the Clerk of 
Superior Court's office in the county or counties where the 



individual resides, has resided during the previous 12 
months. A new fingerprint card shall not be required unless 
deemed necessary by the Division in making the 
determination of qualification. If the criminal history check 
was completed more than one year prior to the application for 
an additional child care program, the applicant shall complete 
all forms as required in Paragraph (a) of this Rule. 

History Note: Authority G.S. 110-90.2; 114-19.5; 143B- 
168.3; S.L. 1995, c. 507, s. 23.25; 
Temporary Adoption Eff. January 1, 1996; 
Eff. April 1. 1997. 

.2702 CRIMINAL RECORD CHECK 

REQUIREMENTS FOR CHILD DAY CARE 
PROVDDERS 

(a) Degimiing with the dat e set forth in the Divisiun's 
impleuieiitatiuu sch e dul e , diild Child day care providers shall 
submit the following to their employer no later than five 
working days after beginning work: 

(1) a certified criminal history check from the Clerk of 
Superior Court's office in the county where the 
individual resides; 

(2) a signed Authority for Release of Information using 
the form provided by the Division; 

(3) a fingerprint card using SBI form FD-258; and 

(4) a signed statement declaring under penalty of 
perjury if he or she has been convicted of a crime 
other than a minor traffic violation. 

If the child day care provider has been convicted of a crime, 
including, but not limited to, those specified in G.S. 110- 
90.2, the child day care provider shall acknowledge on the 
statement that he or she is aware that the employment is 
conditional pending approval by the Division. If the child 
day care provider has lived in North Carolina for less than 
five consecutive years immediately preceding the date the 
fingerprint card is completed, a second fingerprint card shall 
be submitted in order to complete a national check. 

(b) If the child day care provider has been convicted of a 
crime, including, but not limited to, those specified in G.S. 
1 10-90.2, he or she may submit to the Division additional 
information concerning the conviction that could be used by 
the Division in making the determination of the provider's 
qualification for employment. The Division may consider 
the following in making their decision: length of time since 
conviction; nature of the crime; circumstances surrounding 
the commission of the offense or offenses; evidence of 
rehabilitation; number of prior offenses; and age of the 
individual at the time of occurrence. 

(c) The child day care provider's employer shall mail the 
local criminal history check, Authority for Release of 
Information using the form provided by the Division, and 
fingerprint card(s) to the Division no later than three working 
days after receipt. A copy of the submitted information, and 
the declaration statement, shall be maintained in the child day 
care provider's personnel file, and shall be available for 
review by a representative of the Division until the notice of 



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APPROVED RULES 



qualification is received by the provider. At that time the 
submitted information and the declaration statement may be 
discarded. The notice of qualification shall be maintained in 
the child day care provider's personnel file, and shall be 
available for review by a representative of the Division . 

(d) The child day care provider shall be on probationary 
status pending the determination of qualification or 
disqualification by the Division. 

(e) The Division shall notify the child day care provider 
in writing of the determination by the Division of the 
individual's fitness to have responsibility for the safety and 
well-being of children based on the criminal history. The 
Division shall notify the employer if any, in writing of the 
Division's determination concerning the child day care 
provider; however, the employer shall not be told the specific 
information used in making the determination. 

(f) If the child day care provider changes employers within 
one year from the date of qualification that was based on 
fingerprinting, he or she shall submit a certified criminal 
history check from the Clerk of Superior Court's office in the 
county where the individual resides. This local check shall 
be submitted to his or her employer no later than five 
working days after beginning work. The employer shall 
complete the steps as defined in Paragraphs (c), (d) and (g) 
of this Rule. A new fingerprint card shall not be required 
unless deemed necessary by the Division in making its 
determination of qualification. If the criminal history check 
was completed more than one year prior to employment, the 
child day care provider shall complete all forms as required 
in Paragraph (a) of this Rule. 

(g) Child day care providers determined by the Division 
to be disqualified shall be terminated by the facility or small 
day care home immediately upon receipt of the 
disqualification notice. 

(h) Refusal on the part of the employer to dismiss a child 
day care provider who has been found to be disqualified shall 
be grounds for suspension, denial or revocation of the permit 
in addition to any other administrative action or civil 
penalties pursued by the Division. If an employer appeals 
the administrative action, the child day care provider shall 
not be employed during the appeal process. 

(i) A substitute child day care provider who is employed 
for more than five days, whether working full or part-time, 
shall submit all forms as required in Paragraph (a) of this 
Rule to the employer by the end of the fifth working day. 
The employer shall complete the steps as defined in 
Paragraphs (c), (d) and (g) of this Rule. 

History Note: Authority G.S. 110-90.2; 114-19.5; 143B- 
168.3; S.L. 1995, c. 507, s. 23.25; 
Temporary Adoption Eff. January 1 , 1996; 
Eff. April 1. 1997. 

.2704 CRIMINAL RECORD CHECK 

REQUIREMENTS FOR NONREGISTERED 
HOME PROVIDERS 

(a) Beginning with t he dat e se t fuith in the Division's 



impl e m e nta t ion schedul e fur mueiit uumegistei e d Uum e 
piovid e is, and no lat e i than five working days aft e r applying 
for — e nrollm e n t — as — a — iiomegisteied — home — providei — of 
subsidized child day cai e , th e The nonregistered home 
provider shall submit the following to the local purchasing 
agency: 

( 1 ) a certified criminal history check from the Clerk of 
Superior Court's office in the county or counties 
where the individual resides, has resided during 
the previous 12 months: 

(2) a signed Authority for Release of Information using 
the form provided by the Division; 

(3) a fingerprint card using SBI form FD-258; and 

(4) a signed statement declaring under penalty of 
perjury if he or she has been convicted of a crime 
other than a minor traffic violation. 

(b) Current nonregistered home providers shall submit this 
information by the time of their next reenrollment as a 
provider of subsidized child day care. New nonregistered 
home providers shall submit this information no later than 
five working days after applying for enrollment as a 
nonregistered home provider of subsidized child day care. 

(cl If the nonregistered home provider has been convicted 
of a crime, including, but not limited to, those specified in 
G.S. 110-90.2, the nonregistered home provider shall 
acknowledge on the statement that he or she is aware that 
payment is conditional pending approval by the Division. If 
the nonregistered home provider has lived in North Carolina 
for less than five consecutive years immediately preceding 
the date the fingerprint card is completed, a second 
fingerprint card shall be submitted in order to complete a 
national check. 

(d) ffer) If the nonregistered home provider has been 
convicted of a crime, including, but not limited to, those 
specified in G.S. 110-90.2, he or she may submit to the 
Division additional information concerning the conviction 
that could be used by the Division in making the 
determination of the provider's qualification. The Division 
may consider the following in making their decision: length 
of time since conviction; nature of the crime; circumstances 
surrounding the commission of the offense or offenses; 
evidence of rehabilitation; number of prior offenses; and age 
of the individual at the time of occurrence. 

(e) (c) The local purchasing agency shall mail the local 
criminal history check. Authority for Release of Information 
using the form provided by the Division, and fingerprint 
card(s) to the Division no later than five working days after 
receipt. A copy of the submitted information, and the 
declaration statement, shall be maintained in the 
nonregistered home provider's file until the notice of 
qualification is received by the nonregistered home provider. 
At that time the submitted information and the declaration 
statement may be discarded. The notice of qualification shall 
be maintained in the nonregistered home provider's file . 

(f) (d) A nonregistered home provider may receive 
payment during the period in which the state or national 
criminal history check is being completed if the applicant 



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APPROVED RULES 



would otherwise receive approval or temporary approval 
from the local purchasing agency for enrollment in the 
subsidized child day care program, subject to the provisions 
referenced in 10 NCAC 46G .0111(b), 10 NCAC 46G .0214, 
and 10NCAC46G .0215. 

(g) fe) The Division shall notify the nonregistered home 
provider in writing of the determination by the Division of 
the individual's fitness to have responsibility for the safety 
and well-being of children based on the criminal history. 
The Division shall notify the local purchasing agency in 
writing of the Division's determination concerning the 
nonregistered home provider; however, the local purchasing 
agency shall not be told the specific information used in 
making the determination. 

(h) (f) Disqualification of a nonregistered home provider 
by the Division shall be reasonable cause for the local 
purchasing agency to deny further payment. 

(i) (g) If a nonregistered home provider disagrees with the 
decision of disqualification and files a civil action in district 
court, the provider may continue to operate but shall not 
receive payment during the proceedings. If the determination 
is that the nonregistered home provider is qualified, the 
nonregistered provider shall receive retroactive payment for 
the care that was provided. 

History Note: Authority G.S. 110-90.2; 114-19.5; 143B- 
168.3; S.L. 1995, c. 507, s. 23.25; 
Temporary Adoption Eff. January 1, 1996; 
Eff. April 1. 1997. 

CHAPTER 41 - CHILDREN'S SERVICES 

SUBCHAPTER 41P - CHILD-PLACING AGENCIES: 
ADOPTION 

SECTION .0100 - APPLICABILITY 

70006 .0106 ADOPTIVE HOME RECRUITMENT 

The agency shall have a written plan for on-going 
recruitment of adoptive homes for the children it places or 
plans to place for adoption. The plan must shall include 
resources to be used, time-related goals for applicant 
recruitment, and any limitations or restrictions that may be 
inherent to its program. The plan must shall indicate 
designated staff and funding sources for implementation of 
the plan. Agencies shall have a plan which actively recruits 
homes of the same race or ethnic category as that of the 
children it serves. A child's lace and e thnic backgiuund 
must b e consider e d in de t ei uihiing t he most suitable adoptiv e 
placement, but tli e agency shall nut piuhibit th e placement uf 
a child fui adoption with p e rsons of a diff e rent idee ui ethnic 
categuiy. An a gency may consider the cultural, ethnic, or 
racial background of the child and the capacity of the 
prospective adoptive parents to meet the needs of a child as 
one of the number of factors used to determine the best 
interest of the child but shall not delay or deny placement of 
a child for adoption solely on the basis of race, color, or 



national origin of the adoptive parent or the child. 

History Note: Authority G. S. 48-3-204; 131D-10. 5; 143B- 

153; 

Eff. February 1, 1986; 

Amended Eff. March 1, 1992; 

Filed as a Temporary Amendment Eff. July 1 , 1996; 

Recodified from 10 NCAC 41P .0006 Eff. December 6, 1996; 

Amended Eff. April 1. 1997. 

-Mm .0108 PREPLACEMENT ASSESSMENT 

(a) The agency shall conduct an adop t ive s t udy with its 
applicants, a preplacement assessment within 90 days after 
the request has been accepted. The s t udy assessment process 
must shall include at least one offic e visi t with the adoptiv e 
applicants, one home visit, and personal interview and 
separate face-to-face interviews with each member of the 
household above six years of age. The s t udy assessment 
process mus t shall be a joint effort of the adoption agency 
and the applicants to determine the kind of child the 
applicants can best parent. Any s t udy assessment that was 
completed one year or more before placement of a child 
occurs must be updated to include current information about 
the family. The updated s t udy shall fucus un applicabl e 
i t ems in Paragraph (b) of this Rule whei e change could be 
exp e ct e d to have uccuued. Physical examinations of family 
members must shall be current to within 12 months of the 
updated s t udy, assessment. 

(b) The agency shall s t udy the fulluwing ai e as and shall 
record the information in the aduptive applicants' iecuid. 
The a gency shall assess and record in the adoptive applicants' 
record the areas as specified in G.S. 48-3-303(c) and the 
following information: 

{+) th e applicants' mutivatiun fui aduptiuu, 

(1) i?£) the strengths and weaknesses needs of each 

member of the household; 
£2} (3) the attitudes and feelings of the family, 
extended family, and significant others involved 
with the family toward accepting adoptive 
children, and parenting children not born to them; 

(3) (4) the attitudes of the applicants toward the 
biological parents and in regard to the reasons the 
child is in need of adoption; 

(4) (5) the applicants' attitudes toward child behavior 
and discipline; 

(5) f€r) the applicants' plan for discussing adoption 
with the child; 

(6) fh) the emotional stability and maturity of 
applicants; 

(71 (8) the applicants' ability to cope with problems, 
stress, frustrations, crises, and loss; 

(8) (9) the applicants' ability to give and receive 
affection; 

(9) (+9} the applicants' child-caring skills and 
willingness to acquire additional skills needed for 
the child's development; 

(10) (++) the applicants' ability to provide for the 



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January 2, 1997 



1462 



APPROVED RULES 



child's physical and emotional needs; 

(+2) llie applicants ' rccuid of criminal convictions; 

(11) f-B) the adjustm e nt strengths and needs of birth 
children or previously adopted children: childien, 
including schuul reports; if applicabl e ; 

(-r4) l e puit of a physical e xannnatiuii by a licens e d 

m e dical piuvidn fui ln e mb e is uf th e adoptiv e 
family living in th e huusehuld within six munths 
uf di e s t udy diat veiifies no cunnnunicable disease, 
sp e cific illn e ss, ui disabiliti e s that would inteifeie 
with th e family's abilities tu pai c ut a child pus e a 



dir e c t — thieat tu a child wmcli may — p 
significant lisk uf tiansmissiuu in the huine 



ose — a 



f+5) di e applicants' ability tu provid e financially for the 

child ui cliildieu tu be adupted with ui withou t 
agency — financial — assistance — thiuugh — adop t ion 
subsidy, 
(12) fKr) the applicants' personal character references; 

f^rr) the applicants' religiuus ori e ntation, if any; 

fr8) the location and physical environment of the 
home; 

f+9) the plan for child care if parents work; and 
t20) recommendations for adoption in regard to 
the number, age, sex, characteristics, and special 
needs of children who could be best served by the 
family. 
When any of the above information is not reasonably 
available, the preplacement assessment shall state why the 
information is unavailable. 

(c) The aduptiv e home study assessment must shall be 
prepared and typed for review by the agency's adoption 
review committee, and it must become part of the applicants' 
permanent record. 



02) 

04} 
115} 



iud uf 



(d) Nanativ e dictation dining the provisional pen 
licensure must b e l e coided by ag e ncy s t aff providing piublem 



PREPLACEMENT ASSESSMENT 

(a) The agency shall notify applicants in writing within 30 
days of completion of the aduptive study preplacement 
assessment of the acceptance or denial or their application. 

(b) When applicants are not accepted, the agency shall 
share with them the reasons a child cannot be placed in their 
home. Th e ag e ncy shall offer services tu the applicants tu 
assist them in adjusting tu the decision. 

(c) If the applicant disagrees with the unfavorable 
preplacement assessment, the applicant may request an. 
internal review by the agency director. 

(d) The applicant, after exhausting the agency's 
procedures for internal review, may prepare and file a written 
response with the Division of Social Services and the a gency. 
The Division shall acknowledge receipt of the response 
within 30 days, but shall have no authority to take any action 
with respect to the response. A copy of the response shall be 
attached to the unfavorable assessment. 

(e} Following an. unfavorable preplacement assessment 
being filed with the Division, the county department of social 
services shall be notified by the Division, Division and shall 
take appropriate action regarding any child placed m the 
home of the prospective adoptive parent who is the subject of 
the unfavorable assessment. 

£0 As unfavorable preplacement assessment and. any 
response filed with the Division under this Section shall not 
be public records as set forth in G.S. 132. 

History Note: Authority G.S. 48-3-303; 131D-W.5; 143B- 

153; 

Eff. February 1, 1986; 

Filed as a Temporary Amendment Eff. July 1, 1996; 

Recodified from 10 NCAC 41P .0009 Eff. December 6, 1996; 

Amended Eff. April 1. 1997. 



es, conducting adop t iv e studies, and -M\§ .0110 SERVICES TO ADOPTIVE 

APPLICANTS AND FAMILIES 

(a) The agency — shall — provide — s e i vices — t o adop t iv e 



pi e gnancy — s e ivices, — c - uiiuucting — ano- 

pioviding pust-placemeiit s e rvices fulluwing each cuntact 



with the child, biological patents, and aduptive par e n t s and 
this dictatiun must become part uf th e permanent r e cord. 
Once the agency has made a decision regarding the suitability 
of the applicant as an adoptive placement, the preplacement 
assessment shall include specific documentation of the factors 
which support that determination. If the a gency determines 
that the applicant is not suitable to be an adoptive parent, the 
assessment shall include specific documentation of the factors 
which support that determination. 

History Note: Authority G.S. 48-2-502; 48-3-303; 131D- 

10.5; 143B-153; 

Eff. February 1, 1986; 

Amended Eff. August 1, 1993; March 1, 1992; June 1, 1990; 

Filed as a Temporary Amendment Eff. July 1 , 1996; 

Amended Eff. November 1 , 1996; 

Recodified from 10 NCAC 41 P .0008 Eff. December 6, 1996; 

Amended Eff. April L 1997. 

70609 .0109 NOTIFICATION REGARDING 



applican t s t o assis t th e m in making an infuimed decision 
abou t adop t ion. The ag e ncy shall pi u vide the uppui t rini t y fui 
the applicants tu participat e in the adop t iv e s t udy and in the 
ass e ssmen t of th e ii pot e ntial fui mee t ing the needs of th e 
cliildi e u availabl e fui aduptiun. The agency shall provide 
upon request a written statement of the services it provides 
and of its procedure for selecting a prospective adoptive 
parent for a child, including the role of the child's parent or 
guardian in the selection process. This statement tnttst shall 
include a schedule of any fees or expenses charged by the 
a gency and a summary of the provisions of G.S. 48 that 
pertain to the requirements and consequences of a 
relinquishment and to the selection of a prospective adoptive 
parent. 

(b) The agency shall discuss the children potentially 
available for adoption with the adoptive applicants. The 
selection of a prospective adoptive parent for a minor shall be 
made by the agency, and based on the preplacement 
assessment. The selection may be based on criteria requested 



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APPROVED RULES 



by a parent who relinquishes the child to the a gency. 

(c) Following completion of an approved aduptiv e study, 
a preplacement assessment, the agency shall prepare the 
adoptive applicants for the placement of a particular child. 
Preparation must include: 

(1) information about the needs and expectations of 
the child and of the adoptive family; 

(2) information to the extent allowed by law as 
specified in G.S. 48*25 48-3-205 about the child's 
background and the health history of the child's 
biological parents and other relatives; and 

(3) visits with the child prior to placement. 

(d) The agency worker shall visit in the home of the 
adoptive family at l e ast quarterly after the placement of a 
child and prior to the final ordei uf aduptiuu. decree of 
adoption. The first visit must occur within two weeks after 
placement. Frequency of visits thereafter mus t shall be 
determined by the child's and family's needs. Observations 
made during the visits mus t shall be used in making 
recommendations to the court of adoptions in regard to the 
iiileiluiuluiy detiee and final order, decree of adoption, or 
in regard to dismissal of the adoption petition. 

(e) When applicable, the agency shall take steps necessary 
to assure that the adoptive placement comes into compliance 
with the interstate compact on the placement of children. 

(f) The agency shall make post-adoption services available 
to the adoptive parents, the biological parents, and the 
adoptee after the filial uider decree of adoption has been 
entered. 

History Note: Authority G.S. 48-2-502; 48-3-203; 48-3- 

204; 48-3-205; 110-57.1; 13 ID- 10-5; 143B-153; 

Eff. February 1, 1986; 

Filed as a Temporary Amendment Eff. July 1 , 1996; 

Recodified from 10 NCAC 41P .0110 Eff. December 6, 1996; 

Amended Eff . April 1. 1997. 

70OH .0111 LEGAL PROCESS 

(a) The agency shall instruct the adoptive parents in 
procedures regarding the legal process for adoption and shall 
encuuiage instruct them to file their adoption petition soon 
aftei plac e m e nt ucuuis. within 30 days. 

(b) The agency shall prepare and file the required consents 
and other legal documents and reports with the court at the 
appropriate times once the adoption petition has been filed. 

(cl During the process of preparing court reports, the 
petitioner, and each member of the petitioner's home shall be 
interviewed in the petitioner's home. In addition, at least 
one interview shall be conducted in the presence of the 
petitioner and the adoptee to observe interactions between the 
them. The report to the court must be in writing and contain 
the information required by G.S. 48-2-502(10. 

(d} The a gency shall give the petitioner a copy of each 
report filed with the court, and retain a copy, except, 
pursuant to G.S. 48-10-105. the agency shall not release to 
the petitioner a copy of any court order, judgment, decree, or 
pending legal proceeding containing identifying information. 



History Note: Authority G.S. 48-2-302; 48-2-502; 48-10- 

105; 13 ID- 10. 5; 143B-153; 

Eff. February 1, 1986; 

Filed as a Temporary Amendment Eff. July 1, 1996; 

Recodified from 10 NCAC 41 P .0011 Eff. December 6, 1996; 

Amended Eff. April 1. 1997. 

706*2 .0112 RECORDS 

(a) The agency shall maintain children's and biological 
parent's records in accordance with Regulations rules set 
forth in 10 NCAC 410. 

(b) The agency shall keep separate records for each 
adoptive applicant and family. These records must contain 
the following: 

(1) application form; 

(2) copies of marriage certificates, if applicable; 

(3) documentation of marriage termination, if 
applicable; 

(4) current medical records on all family members and 
psychological or psychiatric reports, if applicable; 

(5) references from at least three sources; 

(6) aduptive study preplacement assessment conducted 
by the agency; 

(7) copies of correspondence to, from, and in regard 
to the applicants; 

(8) summary and dates and content of contacts prior to 
and following approval for adoption until the final 
order decree of adoption is entered; 

(9) copies of information given to the applicant and 
family concerning the child or children to be 
placed for adoption with them; 

(10) copies of all legal documents pertaining to the 
adoption; and 

(1 1) summary containing the placement decision, pre- 
placement and post-placement contacts with the 
family and child. 

(c) In the event the applicants were not accepted or did not 
have a child placed with them, the record shall contain a 
narrative indicating the reasons and the manner in which the 
decision was presented to the applicants. 

(d) All individual child and adoptive family records shall 
be permanently retained by the agency. If necessary, the 
files must shall be microfilmed in accordance with provisions 
of G.S. 8-45. 1, following which the original files mus t shall 
be destroyed by a shredding process. 

(e) All child and adoptive applicant and family records 
mus t shall be kept in securely locked quarters and 
information from the files may shall be divulged only in 
compliance with provisions of G.S. 48-25. 48-9-105. 

History Note: Authority G.S. 48-3-303; 13 ID- 10. 5; 143B- 

153; 

Eff. February 1, 1986; 

Filed as a Temporary Amendment Eff. July 1 , 1996; 

Recodified from 10 NCAC 41P .0012 Eff. December 6, 1996; 

Amended Eff. April 1. 1997. 



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January 2, 1997 



1464 



APPROVED RULES 



CHAPTER 42 - INDIVIDUAL AND FAIVflLY 
SUPPORT 

SUBCHAPTER 42A - ADULT PLACEMENT 
SERVICES 

SECTION .0700 - ADULT CARE HOME CASE 
MANAGEMENT 

.0702 CASE MANAGEMENT ACTIVITIES 

Adult Care Home Case Management shall include the 
following activities: 

(1) verifying the need for Enhanced Adult Care Home 
Personal Care: 

(2) reviewing the adult care home's care plan to assure 
it corresponds to the needs of the resident: 

(3) reviewing the adult care home's provision of care 
to assure changes in the residents' conditions are 
being addressed: 

(4) determining the need for other community based 
services which might benefit the resident: and 

(5) assisting the resident and the adult care home to 
access other needed services. 

History Note: Authority G.S. 131D-4.3; 143B-153; 

Temporary Adoption Eff. January 1, 1996; 
Eff. April 1. 1997. 

SUBCHAPTER 42B - LICENSING OF HOMES FOR 
DEVELOPMENT ALLY DISABLED ADULTS 

SECTION .1200 - PERSONNEL 

.1210 STAFF COMPETENCY AND TRAINING 

10 NCAC 42D . 1410 shall control for staff who perform 
or directly supervise staff who perform personal care tasks 
listed in Paragraphs (h) and (il of 10 NCAC 42D .1410. 

History Note: Authority G.S. 131D-2; 131D-4.3; 143B- 

153; 

Temporary Adoption Eff. January 1 , 1996; 

Eff. May 1. 1997. 

.1211 TRAINING PROGRAM CONTENT AND 
APPROVAL 

10 NCAC 42D .1411 shall control for staff who perform 
or directly supervise staff who perform personal care tasks 
listed in Paragraphs ftp and (il of 10 NCAC 42D .1410. 

History Note: Authority G.S. 131D-2; 131D-4.3; 143B- 

153; 

Temporary Adoption Eff. January 1 , 1996; 

Eff. May 1. 1997. 

SUBCHAPTER 42C - LICENSING OF FAMILY 
CARE HOMES 



SECTION .3700 - RESDDENT ASSESSMENT AND 
CARE 

.3702 RESIDENT CARE PLAN 

(al The facility shall assure a care plan is developed for 
each resident in conjunction with the initial resident 
assessment and revised as needed based on annual 
assessments and any reassessments of the resident. For the 
purposes of this Subchapter, the care plan is an 
individualized, written program of persona] care for each 
resident. 
£b) The care plan shall include the following: 
( 1) a statement of the care or service to be provided 

based on the assessment or reassessment: and 
(21 frequency of the service provision. 
(cl The assessor shall sign the care plan upon its 
completion. 

(d) The facility shall assure that the resident's physician 
authorizes personal care services and certifies the following 
by signing and dating the care plan within 15 days of 
completion of the assessment: 

(11 the resident is under the physician's care: and 
£2} the resident has a medical diagnosis with 
associated physical or mental limitations that 
justify the personal care services specified hi the 
care plan. 

History Note: Authority G.S. 131D-2; 131D-4.3; 143B- 

153; 

Temporary Adoption Eff. January 1 , 1996; 

Eff. May 1. 1997. 

.3703 LICENSED HEALTH PROFESSIONAL 
SUPPORT 

(a) The facility shall assure that a registered nurse, 
licensed under G.S. 90. Article 9A. participates in the on-site 
review and evaluation of the residents' health status and care 
plan within the first 45 days of admission and at least every 
90 days thereafter for newly admitted residents requiring, but 
not limited to. one or more of the following personal care 
tasks, and at least every 90 days for current residents 
requiring, but not limited to. one or more of the following 
personal care tasks: 

(1) applying and removing ace bandages. TED's and 

binders: 
(21 feeding techniques for residents with swallowing 

problems: 
(31 bowel or bladder retraining involving hands-on 
and invasive activities such as enemas, 
suppositories, and catheterizations: 
(4) urinary catheterizations: 
(51 chest physiotherapy or postural drainage: 
(61 clean or sterile dressing chang es: 

(7) collecting or testing blood samples and taking 
action based on the results: 

(8) colostomy care: 

(91 decubitus care for sta ges I-IV wounds: 



1465 



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APPROVED RULES 



(10) irri gations of wounds, catheters or access devices: 

(11) inhalation medication by machine: 

(12) maintaining accurate intake and output data: 

(13) medication administration through feeding tube: 

(14) medication administration through injection or 
vascular access: 

(15) administration of more than 10 medications, 
excluding over-the-counter medications ordered on 
an as-needed basis: 

(16) oxygen administration and monitoring: 

(17) the monitoring of care for any residents who are 
restrained and the use of care practices as 
alternatives to restraints: 

(18) oral, pharyngeal, or tracheal suctioning: 

(19) testing urine samples and taking action based on. 
the results: 

(20) tracheostomy care: 

(21) transferring semi-ambulatory or non-ambulatory 
residents: 

(22) administering and monitoring of tube feeding s: or 

(23) adjusting medications as ordered based on vital 
signs. 

The facility shall assure that a registered nurse. 
upational therapist licensed under G.S, 90. Article 18D or 



QCCI 



physical therapist licensed under G.S. 90-270.24. Article 
18B. participates in the on-site review and evaluation of the 
residents' health status and care plan within the time frames 
specified in Paragraph (a) of this Rule for those residents 
who require one or more of the following personal care tasks: 

(1) application of prescribed heat therapy: 

(2) application and removal of prosthetic devices: 

(3) gait training using assistive devices: 

(4) range of motion exercises: or 

(5) any other prescribed physical or occupational 
therapy. 

(c) The facility shall assure that participation in the on-site 
review and evaluation of the residents' health status and care 
plan by a registered nurse, occupational therapist or physical 
therapist as specified in Paragraphs (a) and (b) of this Rule 
includes: 

(1) identifying the appropriate persons to provide care 
and perform the tasks consistent with Section 
.0400 of 21 NCAC Chapter 36: 

(2) teaching or. validating competencies of licensed 
practical nurses or non-licensed personnel who will 
provide care and perform the tasks: 

(3) evaluating the resident's response to care being 
provided: 

(4) reviewing and, if necessary, recommending 
chang es in the care plan: and 

(5) documenting the activities in Subparagraphs (1) 
throug h (4) of this Paragraph. 

(d) The facility shall assure that any staff who perform 
personal care tasks listed in Paragraphs (a) and (b) of this 
Rule are aj least annually observed providing care to 
residents by a licensed registered nurse or other appropriate 
licensed health professional who is employed by the facility 



or under contract or agreement, individually or throug h an 
agency, with the facility. 

History Note: Authority G.S. 131D-2; 131D-4.3; 143B- 

153; 

Temporary Adoption Eff. January 1 , 1996; 

Eff. May 1. 1997. 

CHAPTER 49 - AID TO FAMILIES WITH 
DEPENDENT CfflLDREN (AFDC) 

SUBCHAPTER 49B - ELIGIBILITY 
DETERMINATION 

SECTION .0200 - APPLICATION PROCESS 

.0202 INITIAL EMTERVffiW 

The applicant shall be allowed to have any person(s) of his 
choice participate in the interview. The applicant shall be 
informed of the following: 

(1) He must provide: 

(a) the names of collaterals, such as landlords, 
employers, and others with knowledge of 
his situation; 

information about his resources; 
verification of his earned income and any 
operational expenses; 

his Social Security number unless he has 
lost his card; 

medical forms when appropriate; 
work registration card from ESC; 
statement from a dealer when verified equity 
of a motor vehicle is disputed; 
evidence of good cause claim for 
non-cooperation with the child support 
enforcement agency; 

verification of the amount of a lump sum 
payment and other required information 
regarding the lump sum; 
verification of stepparent's income and 
verification of income of a minor parent's 
parent or legal guardian; and 
signed statement from a doctor or medical 
facility substantiating a pregnancy and the 
expected due date. 

(2) It is the county's responsibility to use collateral 
sources to substantiate or verify information 
necessary to establish eligibility. Collateral 
sources of information include knowledgeable 
individuals, business organizations, public records, 
and documentary evidence. If the applicant does 
not wish necessary collateral contacts to be made, 
he can may withdraw the application. If he denies 
permission to contact necessary collaterals, the 
application shall be rejected due to failure to 
cooperate in establishing eligibility. 

(3) A worker will visit his home at the county's 



(b) 
(c) 

(d) 

(e) 
(0 
(g) 

(h) 



(i) 



0) 



(k) 



11:19 



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January 2, 1997 



1466 



APPROVED RULES 



option. The county's decision to make a home 
visit will be based on error-prone characteristics 
defined by the state using quality control and other 
management data. 

(4) The applicant has the right to: 

(a) receive assistance if found eligible; 

(b) be protected against discrimination on the 
grounds of race, creed, or national origin by 
Title VI of the Civil Rights Act of 1964. 
He may appeal such discrimination; 

(c) spend his assistance payment as he wishes, 
but it must be in his best interest and that of 
his family. A substitute payee may be 
appointed for those individuals who cannot 
manage the payments; 

(d) receive his monthly check in advance until 
the payment is terminated by appropriate 
action; 

(e) have any information given to the agency 
kept in confidence; 

(f) appeal, if his assistance will be denied, 
changed or terminated, his payment is 
incorrect based on the agency's 
interpretation of state regulations, or his 
request for a change in the amount of 
assistance was delayed beyond 30 days or 
rejected; 

(g) reapply at any time, if found ineligible; and 
(h) withdraw from the assistance program at 

any time. 

(5) The applicant's responsibilities. He must: 

(a) provide the county department, state and 
federal officials, the necessary sources from 
which the county department can locate and 
obtain information needed to determine 
eligibility; 

(b) report to the county department of social 
services any change in situation that may 
affect eligibility for a check within five JO 
calendar days after i t happ e ns, he learns of 
the change. The meaning of fraud shall be 
explained. The applicant shall be informed 
that he may be suspected of fraud if he fails 
to report a change in situation and that in 
such situations, he may have to repay 
assistance received in error and that he may 
also be tried by the courts for fraud; 

(c) inform the county department of social 
services of any person or organization 
against whom he has a right to recovery. 
When he accepts medical assistance 
(included with any AFDC), the applicant 
assigns his rights to third party insurance 
benefits to the state. He shall be informed 
that it is a misdemeanor to fail to disclose 
the identity of any person or organization 
against whom he has a right to recovery; 



and 
(d) immediately report to the county department 
the receipt of a check which he knows to be 
erroneous, such as two checks for the same 
month, or a check in the wrong amount. If 
he does not report such payments, he may 
be required to repay any overpayment. 

History Note: Authority G.S. 108A-43; 143B-I53; 45 

C.F.R. 206.10; 

Eff. February 1, 1984; 

Amended Eff. June 1, 1990; February 1, 1986; 

Temporary Amendment Eff. July 1 , 1996; 

Amended Eff. April 1. 1997. 

SECTION .0300 - ELIGIBILITY FACTORS 

.0310 PROSPECTIVE BUDGETING AND 
QUARTERLY REPORTING 



In additiun tu the 



lem e nts found in 45 CFR 233.36 



icquuem e ius r ound in 
wliidi is h e i e bv adopted by ref e rence undei G.S. 150D-14(c), 



uiuutlily l e puiting shall b e required on uthu euui piuue 
ilasses uf lecipieuts as defin e d by the sta t e based on quali t y 
control — and o t hei — manag e m e nt data. Income shall be 
budgeted and reported as described below: 

(11 Income shall be. budgeted prospectively for 
determining eligibility for and the amount of 
AFDC payments. To arrive at a monthly amount 
to consider, the following processes shall be 
followed: 

(a) For income that is paid on less than a 
monthly basis, the pay received from each 
period during a month shall be averag ed and 
converted to a monthly amount as follows. 
Averag ed pay shall be multiplied by: 
til 2 if pay is received twice per month 
lii) 2. 15 if pay is received every two 

weeks 
(iii) 4.3 if pay is received weekly 
For income that is received once per month, 
the amount received from two previous 
successive months shall be averaged to 
arrive at one monthly amount. 
Annualized self-employment income shall 
be averaged over the lesser of the following 
period: the number of months the business 
has been in operation or 12 months. 
The monthly income calculated in Paragraph fal of 
this Rule shall be used to determine the AFDC 
payment for three consecutive calendar months. 
Quarterly reporting shall be required for error- 
prone classes of recipients as defined by the state 
based on quality control and other management 
data. The quarterly reporting process shall follow 
the processing requirements found in 45 CFR 
233.37 which is hereby incorporated by reference 
including all subsequent amendments and editions. 



02) 



Lcj 



ill 



ill 



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11:19 



APPROVED RULES 



Copies of this Code of Federal Regulations may be 
obtained from the Division of Social Services. 325 
North Salisbury Street. Raleigh. EC 27603 
[telephone number (9191 733-3055] at a cost of ten 
cents f$. 10) per page at the time of adoption of 
this Rule. 
(4) AFDC families shall be required to report all 
changes within 10 calendar days after they become 
aware a change has occurred. 

History Note: Authority G.S. 143B-153; 45 C.F.R. 233.28; 

45C.F.R. 233.36; 

Eff. February 1, 1984; 

Amended Eff. August 1, 1988; February 1, 1986; 

Temporary Amendment Eff. July 1, 1996; 

Amended Eff. April 1. 1997. 



TITLE 15A - DEPARTMENT OF ENVIRONMENT, 
HEALTH, AND NATURAL RESOURCES 

CHAPTER 2 - ENVIRONMENTAL MANAGEMENT 

SUBCHAPTER 2B - SURFACE WATER AND 
WETLAND STANDARDS 

SECTION .0300 - ASSIGNMENT OF STREAM 
CLASSIFICATIONS 

.0315 NEUSE RTVER BASIN 

(a) The schedule may be inspected at the following places: 

(1) Clerk of Court: 
Beaufort County 
Carteret County 
Craven County 
Durham County 
Franklin County 
Granville County 
Greene County 
Johnston County 
Jones County 
Lenoir County 
Nash County 
Orange County 
Pamlico County 
Person County 
Pitt County 
Wake County 
Wayne County 
Wilson County 

(2) North Carolina Department of Environment, 
Health, and Natural Resources: 

(A) Raleigh Regional Office 
3800 Barrett Drive 
Raleigh, North Carolina 

(B) Washington Regional Office 
1424 Carolina Avenue 



Washington, North Carolina 
(C) Wilmington Regional Office 
127 Cardinal Drive 
Wilmington, North Carolina. 

(b) The Neuse River Basin Schedule of Classification and 
Water Quality Standards was amended effective: 

(1) March 1, 1977; 

(2) December 13, 1979; 

(3) September 14, 1980; 

(4) August 9, 1981; 

(5) January 1, 1982; 

(6) April 1, 1982; 

(7) December 1, 1983; 

(8) January 1, 1985; 

(9) August 1, 1985; 

(10) February 1, 1986; 

(11) May 1, 1988; 

(12) July 1, 1988; 

(13) October 1, 1988; 

(14) January 1, 1990; 

(15) August 1, 1990; 

(16) December 1, 1990; 

(17) July 1, 1991; 

(18) August 3, 1992; 

(19) April 1, 1994; 

(20) July 1, 1996; 

(21) September 1 , i996r 1996: 
£22) April 1. 1997. 

(c) The Schedule of Classifications and Water Quality 
Standards for the Neuse River Basin has been amended 
effective July 1, 1988 as follows: 

(1) Smith Creek [Index No. 27-23-(l)] from source to 
the dam at Wake Forest Reservoir has been 
reclassified from Class WS-HI to WS-I. 

(2) Little River [Index No. 27-57-(l)] from source to 
the N.C. Hwy. 97 Bridge near Zebulon including 
all tributaries has been reclassified from Class 
WS-m to WS-I. 

(3) An unnamed tributary to Buffalo Creek just 
upstream of Robertson's Pond in Wake County 
from source to Buffalo Creek including Leo's 
Pond has been reclassified from Class C to B. 

(d) The Schedule of Classifications and Water Quality 
Standards for the Neuse River Basin has been amended 
effective October 1, 1988 as follows: 

(1) Walnut Creek (Lake Johnson, Lake Raleigh) 
[Index No. 27-34-(l)]. Lake Johnson and Lake 
Raleigh have been reclassified from Class WS-HI 
to Class WS-m & B. 

(2) Haw Creek (Camp Charles Lake) (Index No. 
27-86-3-7) from the backwaters of Camp Charles 
Lake to dam at Camp Charles Lake has been 
reclassified from Class C to Class B. 

(e) The Schedule of Classifications and Water Quality 
Standards for the Neuse River Basin has been amended 
effective January 1, 1990 as follows: 

(1) Neuse-Southeast Pamlico Sound ORW Area which 



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1468 



APPROVED RULES 



includes all waters within a line beginning at the 
southwest tip of Ocracoke Island, and extending 
north west along the Tar-Pamlico River Basin and 
Neuse River Basin boundary line to Lat. 35 
degrees 06' 30", thence in a southwest direction to 
Ship Point and all tributaries, were reclassified 
from Class SA NSW to Class SA NSW ORW. 
(2) Core Sound (Index No. 27-149) from northeastern 
limit of White Oak River Basin (a line from Hall 
Point to Drum Inlet) to Pamlico Sound and all 
tributaries, except Thorofare, John Day Ditch were 
reclassified from Class SA NSW to Class SA NSW 
ORW. 

(f) The Schedule of Classifications and Water Quality 
Standards for the Neuse River Basin was amended effective 
December 1, 1990 with the reclassification of the following 
waters as described in (1) through (3) of this Paragraph. 

(1) Northwest Creek from its source to the Neuse 
River (Index No. 27-105) from Class SC Sw NSW 
to Class SB Sw NSW; 

(2) Upper Broad Creek [Index No. 27-106-(7)] from 
Pamlico County SR 1 103 at Lees Landing to the 
Neuse River from Class SC Sw NSW to Class SB 
Sw NSW; and 

(3) Goose Creek [Index No. 27-107-(l 1)] from Wood 
Landing to the Neuse River from Class SC Sw 
NSW to Class SB Sw NSW. 

(g) The Schedule of Classifications and Water Quality 
Standards for the Neuse River Basin was amended effective 
July 1, 1991 with the reclassification of the Bay River [Index 
No. 27-150-(l)] within a line running from Flea Point to the 
Hammock, east to a line running from Bell Point to Darby 
Point, including Harper Creek, Tempe Gut, Moore Creek 
and Newton Creek, and excluding that portion of the Bay 
River landward of a line running from Poorhouse Point to 
Darby Point from Classes SC Sw NSW and SC Sw NSW 
HQW to Class SA NSW. 

(h) The Schedule of Classifications and Water Quality 
Standards for the Neuse River Basin was amended effective 
August 3, 1992 with the reclassification of all water supply 
waters (waters with a primary classification of WS-I, WS-II 
or WS-IH). These waters were reclassified to WS-I, WS-II, 
WS-HJ, WS-IV or WS-V as defined in the revised water 
supply protection rules, (15A NCAC 2B .0100, .0200 and 
.0300) which became effective on August 3, 1992. In some 
cases, streams with primary classifications other than WS 
were reclassified to a WS classification due to their proximity 
and linkage to water supply waters. In other cases, waters 
were reclassified from a WS classification to an alternate 
appropriate primary classification after being identified as 
downstream of a water supply intake or identified as not 
being used for water supply purposes. 

(i) The Schedule of Classifications and Water Quality 
Standards for the Neuse River Basin was amended effective 
April 1, 1994 as follows: 

(1) Lake Crabtree [Index No. 27-33-(l)] was 
reclassified from Class C NSW to Class B NSW. 



(2) The Eno River from Orange County State Road 
1561 to Durham County State Road 1003 [Index 
No. 27-10-(16)] was reclassified from Class WS- 
IV NSW to Class WS-IV&B NSW. 

(3) Silver Lake (Index No. 27-43-5) was reclassified 
from Class WS-UI NSW to Class WS-HJ&B NSW. 

(j) The Schedule of Classifications and Water Quality 
Standards for the Neuse River Basin was amended effective 
July 1, 1996 with the reclassification of Austin Creek [Index 
Nos. 27-23-3-(l) and 27-23-3-(2)] from its source to Smith 
Creek from classes WS-UI NSW and WS-UI NSW CA to 
class C NSW. 

(k) The Schedule of Classifications and Water Quality 
Standards for the Neuse River Basin was amended effective 
September 1, 1996 with the reclassification of an unnamed 
tributary to Hannah Creek (Tuckers Lake) [Index No. 27-52- 
6-0.5] from Class C NSW to Class B NSW. 

(1) The Schedule of Classifications and Water Quality 
Standards for the Neuse River Basin was amended effective 
April .L 1997 with the reclassification of the Neuse River 
(including tributaries) from mouth of Marks Creek to a point 
1.3 miles downstream of Johnston County State Road 1908 
to class WS-IV NSW and from a point 1.3 miles downstream 
of Johnston County State Road 1908 to the Johnston County 
Water Supply intake (located L_8_ miks downstream si 
Johnston County State Road 1908) to class WS-IV CA NSW 
[Index Nos. 27-(36) and 27-(38.5Vj. 

History Note: Authority G.S. 143-214.1; 143-215.1; 

143-215. 3(a)(1); 

Eff. February 1, 1976; 

Amended Eff April JL 1997: September 1, 1996; July 1, 

1996; April 1, 1994; August 3, 1992; July 1, 1991. 

SUBCHAPTER 2D - AIR POLLUTION CONTROL 
REQUIREMENTS 

SECTION .0500 - EMISSION CONTROL 
STANDARDS 

.0524 NEW SOURCE PERFORMANCE 
STANDARDS 

(a) With the exception of Paragraph (b) or (cj of this Rule, 
sources subject to new source performance standards 
promulgated in 40 CFR Part 60 shall comply with emission 
standards, monitoring and reporting requirements, 
maintenance requirements, notification and record keeping 
requirements, performance test requirements, test method and 
procedural provisions, and any other provisions, as required 
therein, rather than with any otherwise-applicable Rule in 
this Section which would be in conflict therewith. 

(b) The following is not included under this Rule: new 
residential wood heaters (40 CFR 60.530 to 60.539b. 
Subpart AAA). 

ftr>(c) Along with the notice appearing in the North 
Carolina Register for a public hearing to amend this Rule to 
exclude a standard from this Rule, the Director shall state 



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11:19 



APPROVED RULES 



whether or not the new source performance standards 
promulgated under 40 CFR Part 60, or part thereof, shall be 
enforced. If the Commission does not adopt the amendment 
to this Rule to exclude or amend the standard within 12 
months after the close of the comment period on the proposed 
amendment, the Director shall begin enforcing that standard 
when 12 months has elapsed after the end of the comment 
period on the proposed amendment. 

rcVd - ) New sources of volatile organic compounds that are 
located in an area designated in 40 CFR 81.334 as 
nonattainment for ozone or an area identified in accordance 
with 15A NCAC 2D .0902(d) as being in violation of the 
ambient air quality standard for ozone shall comply with the 
requirements of 40 CFR Part 60 that are not excluded by this 
Rule, as well as with any applicable requirements in Section 
.0900 of this Subchapter. 

fcB(e) All requests, reports, applications, submittals, and 
other communications to the administrator required under 
Paragraph (a) of this Rule shall be submitted to the Director 
of the Division of Air Quality Environm e ntal Manag e men t 
rather than to the Environmental Protection Agency. 

fe)(0 In the application of this Rule, definitions contained 
in 40 CFR Part 60 shall apply rather than those of Section 
.0100 of this Subchapter. 

(f){g) 15A NCAC 2Q .0102 and .0302 are not applicable 
to any source to which this Rule applies except for: 

(1) 40 CFR Part 60, Subpart Dc, industrial, 
commercial, and institutional steam generating 
units; 

(2) 40 CFR Part 60, Subpart Kb, volatile organic 
liquid storage vessels; or 

(3) 40 CFR Part 60, Subpart AAA, new residential 
wood heaters. 

The owner or operator of the source shall apply for and 
receive a permit as required in 15A NCAC 2Q .0300 or 
.0500. 

History Note: Filed as a Temporary Amendment Eff. 

March 8, 1994, for a period of 180 days or until the 

permanent rule is effective, whichever is sooner; 

Filed as a Temporary Amendment Eff. January 3 , 1988, for 

a period of 180 days to expire on June 30, 1988; 

Authority G.S. 143-215. 3(a)(1); 143-215. 107(a)(5); 150B- 

21.6; 

Eff. June 18, 1976; 

Amended Eff. April 7, 1997: July 1, 1996; July 1, 1994; 

December 1, 1992; July 1, 1992. 

SECTION .0900 - VOLATILE ORGANIC 
COMPOUNDS 

.0954 STAGE U VAPOR RECOVERY 

(a) Applicability. In accordance with Paragraphs (d) or 
v=) (sL. ££L or £g) of Rule .0902 of this Section, this Rule 
applies to the control of gasoline vapors at the vehicle fill- 
pipe during refueling operations at a facility. The vapors 
shall be captured and returned to a vapor-tight underground 



storage tank or shall be captured and destroyed. These 
systems shall be installed at all facilities that dispense 
gasoline to motor vehicles unless exempted under Paragraph 
(b) of this Rule. 

(b) Exemptions. The following gasoline dispensing 
facilities are exempt from this Rule based upon the previous 
two years records: 

(1) any facility which dispenses less than 10,000 
gallons of gasoline per calendar month; 

(2) any facility which dispenses less than 50,000 
gallons of gasoline per calendar month and is an 
independent small business marketer of gasoline; 

(3) any facility which dispenses gasoline exclusively 
for refueling marine vehicles, aircraft, farm 
equipment, and emergency vehicles; or 

(4) any tanks used exclusively to test the fuel 
dispensing meters. 

Any facility that ever exceeds the exemptions given in 
Subparagraphs (1), (2), (3) or (4) in this Paragraph shall be 
subject to all of the provisions of this Rule in accordance 
with the schedule given in Subparagraph (f) of this Rule, and 
shall remain subject to these provisions even if the facility's 
later operation meets the exemption requirements. 

(c) Proof of Eligibility. The burden of proof of eligibility 
for exemption from this Rule is on the owner or operator of 
the facility. Persons seeking an exemption from this Rule 
shall maintain the following: 

(1) chronologically arranged bills of lading for receipt 
of gasoline shipments from the last three years, 
and 

(2) daily inventory of each gasoline type for each day 
of operation or equivalent records as required; this 
shall be maintained for the last three years. 

These records shall be furnished to the Director upon 
request. 

(d) Definitions. For the purpose of this Rule, the 
following definitions apply: 

(1) "CARB" means the California Air Resources 
Board. 

(2) "Certified STAGE II Vapor Recovery System" 
means any system certified by the California Air 
Resources Board as having a vapor recovery or 
removal efficiency of at least 95 percent by 
weight. 

(3) "Defective equipment" means any absence, 
disconnection, or malfunction of a Stage II vapor 
recovery system component which is required by 
this Rule including the following: 

(A) a vapor return line that is crimped, flattened 
or blocked or that has any hole or slit that 
allows vapors to leak out; 

(B) a nozzle bellows that has any hole or tear 
large enough to allow a 1/4 inch diameter 
cylindrical rod to pass through it or any slit 
one inch or more in length; 

(C) a nozzle face-plate or cone that is torn or 
missing over 25 percent of its surface; 



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APPROVED RULES 



(D) a nozzle with no automatic overfill control 
mechanism or an inoperable overfill control 
mechanism; 

(E) an inoperable or malfunctioning vapor 
processing unit, vacuum generating device, 
pressure or vacuum relief valve, vapor 
check valve or any other equipment 
normally used to dispense gasoline, or that 
is required by this Rule; or 

(F) a failure to meet the requirements of 
Paragraph (g) of this Rule. 

(4) "Facility" means any gasoline service station, 
gasoline dispensing facility, or gasoline cargo 
tanker. 

(5) "ISBM" means independent small business 
marketer. 

(6) "Independent Small Business Marketer of 
Gasoline" means a facility that qualifies under 
Section 324 of the Federal Clean Air Act. 

(7) "Operator" means any person who leases, operates, 
controls, or supervises a facility at which gasoline 
is dispensed. 

(8) "Owner" means any person who has legal or 
equitable title to the gasoline storage tank at a 
facility. 

(9) "Pressure Balanced Stage II System" means one 
which is not vacuum-assisted. That is, the volume 
of vapor in the automobile's fuel tank displaced by 
the incoming liquid gasoline equals the space in 
the underground tank created by the gasoline 
leaving. 

( 10) "Remote Vapor Check Valve" means a check valve 
in the vapor return line but not located in the 
nozzle. 

(1 1) "Stage II Vapor Recovery" means to the control of 
gasoline vapor at the vehicle fill-pipe, where the 
vapors are captured and returned to a vapor-tight 
storage tank or are captured and destroyed. 

(12) "Throughput" means the amount of gasoline 
dispensed at a facility during any calendar month 
after June 30, 1994. 

(e) Stage II Requirements. No person shall transfer or 
permit the transfer of gasoline into the fuel tank of any motor 
vehicle at any applicable facility unless: 

(1) the transfer is made using a Certified Stage II 
vapor recovery system that meets the requirements 
of the inspections; 

(2) all installed Stage II vapor recovery systems use 
coaxial vapor recovery hoses; no dual-hose designs 
shall be used; 

(3) all installed Stage II vapor recovery systems used 
are certified by CARB except that the Stage I 
system need not be CARB certified. In addition, 
no Stage II system shall employ a remote vapor 
check valve. Pressure balanced Stage II systems 
may be used; and 

(4) the underground vapor return piping satisfies the 



requirements of Rule .0953 of this Subchapter. 
In the event that CARB revokes certification of an installed 
system, the owner or operator of the facility shall have four 
years to modify his equipment to conform with re- 
certification requirements unless modifications involve only 
the replacement of dispenser check valves, hoses, or nozzles 
or appurtenances to these components in which case the 
allowed time period is three months. This time period is 
defined as the period from the day that the owner or operator 
of the facility has been officially notified by the Director. 

(f) Compliance Schedule. If the gasoline service station 
or gasoline dispensing facility is subject to the requirements 
of this Rule in accordance with Paragiapli (d) ui (e) 
Paragraphs (e). (fL or (g) of Rule .0902 of this Section, 
compliance shall be achieved no later than: 

(1) one year from the date that the Director notices in 
the North Carolina Register that an area is in 
violation of the ambient air quality standard for 
ozone, for facilities having any single monthly 
throughput of at least 100,000 gallons per month; 

(2) two years from the date that the Director notices in 
the North Carolina Register that an area is in 
violation of the ambient air quality standard for 
ozone, for facilities having any single monthly 
throughput of greater than 10,000 gallons but less 
than 100,000 gallons; 

(3) for affected facilities owned by a single ISBM: 

(A) one year from the date that the Director 
notices in the North Carolina Register that 
an area is in violation of the ambient air 
quality standard for ozone, for 33 percent of 
affected facilities; 

(B) two years from the date that the Director 
notices in the North Carolina Register that 
an area is in violation of the ambient air 
quality standard for ozone, for 66 percent of 
the affected facilities; 

(C) three years from the date that the Director 
notices in the North Carolina Register that 
an area is in violation of the ambient air 
quality standard for ozone, for the 
remainder of the affected facilities; 

(4) 1 8 months after the day the owner or operator of 
the facility has been notified by the Director that 
his exemption under Paragraph (b) of this Rule has 
been revoked; or 

(5) before beginning operation for islands constructed 
after the Director notices in the North Carolina 
Register that an area is in violation of the ambient 
air quality standard for ozone. 

(g) Testing Requirements 

(1) Within 30 days after the commencement of 
operation of the Stage II system and every five 
years thereafter, the owner or operator of the 
facility shall submit reports of the following tests 
as described in EPA-450/3-91-022b: 
(A) Bay Area Source Test Procedure ST-30, 



1471 



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11:19 



APPROVED RULES 



Leak Test Procedure, or San Diego Test 
Procedure TP-91-1, Pressure Decay/Leak 
Test Procedure every five years; 

(B) Bay Area Source Test Procedure ST-27, 
Dynamic Back Pressure, or San Diego Test 
Procedure TP-91-2, Pressure Drop vs 
Flow/liquid Blockage Test Procedure every 
five years; and 

(C) Bay Area Source Test Procedure ST-37, 
Liquid Removal Devices every five years. 

If the tests have been performed within the last two 
years the owner or operator may submit a copy of 
those tests in lieu of retesting. Testing shall be in 
accordance with Rule .0912 of this Section. 

(2) The owner or operator shall perform daily testing 
and inspections as follows: 

(A) daily tests to ensure proper functioning of 
nozzle automatic overfill control 
mechanisms and flow prohibiting 
mechanisms, and 

(B) daily visual inspection of the nozzle bellows 
and face-plate. 

(3) The owner or operator of the facility and the test 
contractor shall report all test failures to the 
Regional Office Supervisor within 24 hours of the 
failure. 

(4) The Director may require the owner or operator of 
the facility to perform any of the tests in 
Subparagraph (1) of this Paragraph if there are any 
modifications or repairs. 

(5) Where the Air Quali t y Division Division of Air 
Quality conducts tests or upon requirement from 
the Director to test the vapor control system it 
shall be without compensating the owner or 
operator of the facility for any lost revenues 
incurred due to the testing procedure. 

(h) Operating Instructions and Posting 

(1) The owner or operator of the facility shall post 
operating instructions for the vapor recovery 
system on the top one-third of the front of each 
gasoline dispenser to include the following: 

(A) a clear description of how to correctly 
dispense gasoline with the vapor recovery 
nozzles, 

(B) a warning that repeated attempts to continue 
dispensing gasoline, after the system has 
indicated that the vehicle fuel tank is full 
(by automatically shutting off), may result 
in spillage or recirculation of gasoline, 

(C) a telephone number to report problems 
experienced with the vapor recovery system 
to the owner or operator of the facility, and 

(D) a telephone number to report problems 
experienced with the vapor recovery system 
to the Director. 

(2) The owner or operator shall provide written 
instructions on site as detailed in EPA-450/3-91- 



022b to insure that employees of the facility have 

an accurate understanding of the operation of the 

system and, in particular, when the system is 

malfunctioning and requires repair. 

(i) Other General Requirements. The owner or operator 

of the facility shall conspicuously post "Out of Order" signs 

on any nozzle associated with any aboveground part of the 

vapor recovery system which is defective until the system has 

been repaired to bring it back into compliance with this Rule. 

(j) Record-keeping and Reporting. Owners or operators 

of the facility shall maintain records in accordance with Rule 

.0903 of this Section on compliance and testing. 

(k) Referenced document. EPA-450/3-91-022b, 
"Technical Guidance - Stage II Vapor Recovery Systems for 
Control of Vehicle Refueling Emissions at Gasoline 
Dispensing Facilities, Volume II: Appendices", November 
1991, cited in this Rule is hereby incorporated by reference 
and does not include subsequent amendments or editions. A 
copy of this document is available for inspection at the 
Regional Offices of the North Carolina Department of 
Environment, Health, and Natural Resources (addresses are 
given in Rule .0103 of this Subchapter). Copies of this 
document may be obtained through the Library Services 
Office (MD-35), U. S. Environmental Protection Agency, 
Research Triangle Park or National Technical Information 
Services, 5285 Port Royal Road, Springfield VA 22161. 
The NTIS number for this document is PB-92 132851 and the 
cost is fifty-two dollars ($52.00). 

History Note: Authority G.S. 143-215. 3(a)(1); 143- 

215.107(a); 150B-21. 6; 

Eff. May 1, 1995; 

Amended Eff. April L 1997: July 1, 1996; April 1, 1996; 

May 1, 1995. 

SECTION .1100 - CONTROL OF TOXIC AIR 
POLLUTANTS 

.1110 NATIONAL EMISSION STANDARDS FOR 
HAZARDOUS AIR POLLUTANTS 

(a) Suuiues e mitting pollu t ants uf the fulluwing t ypes 
when With the exception of Paragraph fbl of this Rule, 
sources subject to national emission standards for hazardous 
air pollutants promulgated in 40 CFR Part 6 1 shall comply 
with emission standards, monitoring and reporting 
requirements, maintenance requirements, notification and 
record keeping requirements, performance test requirements, 
test method and procedural provisions, and any other 
provisions, as required therein, rather than with any 
otherwise-applicable Rule in Section .0500 of this Subchapter 
which that would be in conflict therewith. New suuiues uf 
j la t il e 



v o la t il e uigauic compounds tuat die luuueu in an area 
designated in 40 CFR 81.334 as uouattainm e nt fui uzuue ui 



iu an aiea identified in accordance with 15A NCAC 2D 
.0 9 02(c) as being in violation uf the ambi e nt air quality 
standaid — fbi — ozone — sbaH — cuniply — wrrth — the — following 
r e quir e men t s, as w e ll as with any applicable requiieinents in 



11:19 



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APPROVED RULES 



Section .0 9 00 uf this Snbctetpter 

t\) asb e stos (40 CFR 61.01 tu 01.1 9 and 01.140 to 

61.15 9 . Subpart M, with th e exc e ption nam e d in 
40 CFR 01.157), 

(2) b e iyllium (40 CFR 61.01 to 61.1 9 and 01.30 t o 



httrrr 
61.3 9 , Subedit C) 



(3) beiylliuin fn 



Act motor firing (40 CfR 61.01 



limn Mum locket iiiutoi tiling 
tu 61. 1 9 and 61.40 t o 61.4 9 , Subpart D); 



(4)- 



mercory 

61.5 9 , Subpait C); 



(40 CrR 61.01 to 61.1 9 and 61.50 to 



t5) v iii> 1 chluiid e (40 CVR 61.01 to 61. 1 9 and 61.60 

to 61.71, Subpar t D : 
(6) e quipment leaks (fugitiv e emission sourc e s) o f 

b e nzene (40 CTR 61.01 to 61.1 9 and 61.110 to 

01.11 9 , Subpart J) ; 



m- 



m- 



e quipment leaks ( f ugitiv e emission sources) (o f 
vulatile hazaidous an pollu t ants) (40 CFR 61.01 t o 
61.1 9 and 61.240 to 61.24 9 , Subpait V), 



arsenic 



emissions 



inuiganic 

marmfactarmg plants (40 CrR 61.01 to 61.1 9 and 

01.100 tu 01.10 9 , Subpar t N); 



fb)£d) All requests, reports, applications, submittals, and 
other communications to the administrator required under 
Paragraph (a) of this Rule shall be submitted to the Director 
of the Division of Ail Quality Enviiomuental Managem e nt 
rather than to the Environmental Protection Agency; except 
that all such reports, applications, submittals, and other 
communications to the administrator required by 40 CFR 
61.145 shall be submitted to the Director, Division of 
Epidemiology. 

rrt(e) In the application of this Rule, definitions contained 
in 40 CFR Part 61 shall apply rather than those of Section 
.0 100 of this Subchapter. Subchapt e i wh e n cunflict e xists. 

fcrXfi 15A NCAC 2Q .0102 and .0302 are not applicable 
to any source to which this Rule applies. The owner or 
operator of the source shall apply for and receive a permit as 
required in 15A NCAC 2Q .0300 or .0500. 

(e) Th e Code of F e d e ral Regulations cited Lu this Rul e are 

incuipuiat e d by l e f e i c uce and shall automatically includ e any 

glass la te r am e ndm e nts th e r e to except foi categuiics of sourc e s nut 



f9) hiui garni ai seme emissions hum pumaiy cuppei 

smelt e is (40 CFR 61.01 t o 01.1 9 and 01.170 tu 

01.17 9 , Subpai t O); 
( 10) inuigank ars e nic emissions hum ais e nic tiiuxide 

and me t allic aisenic piuductiun facilities (40 CFR 

01.01 tu 01. 1 9 and 01. 180 tu 1.1 80, Subpait P); 
tt+) b e nzen e — e missiuns from — b e nzen e tiansfei 

up e iatiuns (40 CFR 01.01 to 01. 1 9 and 01.300 t o 

61.306, Subpait DD); 
tt2) b e nzen e wast e upeiatiuns (40 CFR 61.01 to 61.1 9 

and 61.340 to 61.358, Subpait FF); 
t+3i benzen e e missions fiom cuke by-piuduct i c cuveiy 

plants (40 CrR 61.01 to 61.1 9 and 61.130 t o 

61.13 9 , Subpart L); and 



t+4-) benzen e e missions hum benzen e stuiage vessels 

(40 CFR 61.01 tu 61.1 9 and 61.270 tu 61.277 
e xc e p t 61.273, Subpait Y). 

(b) Along with the notice appearing in the North Carolina 
Register for a public hearing to amend this Rule to exclude 
a standard from this Rule, the Director shall state whether or 
not the national emission standards for hazardous air 
pollutants promulgated under 40 CFR Part 61. or part 
thereof, shall be enforced. If the Commission does not adopt 
the amendment to this Rule to exclude or amend the standard 
within 12 months after the close of the comment period on 
the proposed amendment, the Director shall begin enforcing 
that standard when 12 months has elapsed after the end of the 
comment period on the proposed amendment. 

fc) New sources of volatile or ganic compounds that are 
located in an area designated in 40 CFR 81.334 as 
nonattainment for ozone or an area identified in accordance 
with 15A NCAC 2D .0902(e). (f). or (g) as in violation of 
the ambient air quality standard for ozone shall comply with 
the requirements of 40 CFR Part 61 that are not excluded by 
this Rule, as well as with any applicable requirements in 
Section .0900 of this Subchapter. 



referenced in Paiagiaph (a) uf this Rul e . — Ca t egories uf 
sources not r e f e renced in Paiagiaph (a) of this Rule for which 
EPA — has — promulgated — natiunal — e mission — standaids — for 
hazardous aii pollutants in 40 CFR Part 01, if and wh e n 
incorpora te d into this Rule, shall b e incuipuiated using rul e - 
making proc e dui e s. 



G.S. 143-215. 3(a)(1); 143- 



History Note: Authority 
215.107 (a)(5); 150B-21.6; 
Eff. July 1, 1996; 
Amended Eff. July 1. 1997. 



.1111 MAXIMUM ACHIEVABLE CONTROL 
TECHNOLOGY 

(a) With the exception of Paragraph (b) or (c) of this Rule, 
sources subject to national emission standards for hazardous 
air pollutants for source categories promulgated in 40 CFR 
Part 63 shall comply with emission standards, monitoring 
and reporting requirements, maintenance requirements, 
notification and record keeping requirements, performance 
test requirements, test method and procedural provisions, and 
any other provisions, as required therein, rather than with 
any otherwise-applicable Rul e rule in Section .0500 of this 
Subchapter which would be in conflict therewith. 

(b) The following are not included under this Rule: 

(1) approval of state programs and delegation of 
federal authorities (40 CFR 63.90 to 63.96, 
Subpart E); and 

(2) requirements for control technology determined for 
major sources in accordance with Clean Air Act 
Sections 112(g) and 112(j) (40 CFR 63.50 to 
63.57, Subpart B). 

(c) Along with the notice appearing in the North Carolina 
Register for a public hearing to amend this Rule to exclude 
a standard from this Rule, the Director shall state whether or 
not the national emission standard for hazardous air 
pollutants for source categories promulgated under 40 CFR 
Part 63, or part thereof, shall be enforced. If the 



1473 



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APPROVED RULES 



Commission does not adopt the amendment to this Rule to 
exclude or amend the standard within 12 months after the 
close of the comment period on the proposed amendment, the 
Director shall begin enforcing that standard when 12 months 
has elapsed after the end of the comment period on the 
proposed amendment. 

(d) New sources of volatile organic compounds that are 
located in an area designated in 40 CFR 81.334 as 
nonattainment for ozone or an area identified in accordance 
with 15A NCAC 2D .0902 .0 9 02(d) as being in violation of 
the ambient air quality standard for ozone shall comply with 
the requirements of 40 CFR Part 63 that are not excluded by 
this Rule as well as with any applicable requirements in 
Section .0900 of this Subchapter. 

(e) All requests, reports, applications, submittals, and 
other communications to the administrator required under 
Paragraph (a) of this Rule shall be submitted to the Director 
of the Division of Air Quality Enviiumneiital Manag e ment 
rather than to the Environmental Protection Agency. 

(f) In the application of this Rule, definitions contained in 
40 CFR Part 63 shall apply rather than those of Section 
.0100 of this Subchapter when conflict exists. 

(g) 15A NCAC 2Q .0102 and .0302 are not applicable to 
any source to which this Rule applies if the source is required 
to be permitted under 15 A NCAC 2Q .0500, Title V 
Procedures. The owner or operator of the source shall apply 
for and receive a permit as required in 15A NCAC 2Q .0300 
or .0500. Sources that have heretofore been exempted from 
needing a permit and become subject to requirements 
promulgated under 40 CFR 63 shall apply for a permit in 
accordance to 15A NCAC 2Q .0109. 



143-215. 3(a)(1); 143- 



History Note: Authority G. S. 
215. 107 (a)(5); 150B-21. 6; 
Eff. July 1, 1996; 
Amended Eff. April 1. 1997. 



SUBCHAPTER 2Q - AIR QUALITY PERMIT 
PROCEDURES 

SECTION .0100 - GENERAL PROVISIONS 

.0102 ACTIVITIES EXEMPTED FROM PERMIT 
REQUIREMENTS 

(a) If a source is subject to any of the following rules, 
then the source is not exempted from permit requirements, 
and the exemptions in Paragraph (b) of this Rule do not 
apply: 

(1) new source performance standards under 15A 
NCAC 2D .0524 or 40 CFR Part 60, except: 

(A) 40 CFR Part 60, Subpart Dc, industrial, 
commercial, and institutional steam 
generating units located at a facility not 
required to be permitted under Section 
.0500 of this Subchapter; 

(B) 40 CFR Part 60, Subpart Kb, volatile 
organic liquid storage vessels located at a 



facility not required to be permitted under 
Section .0500 of this Subchapter; or 
(C) 40 CFR Part 60, Subpart AAA, new 
residential wood heaters; 

(2) national emission standards for hazardous air 
pollutants under 15A NCAC 2D . 1 1 10 or 40 CFR 
Part 61, except asbestos demolition and renovation 
activities; 

(3) prevention of significant deterioration under 15A 
NCAC 2D .0530; 

(4) new source review under 15 A NCAC 2D .0531 or 
.0532; 

(5) sources of volatile organic compounds subject to 
the requirements of 15A NCAC 2D .0900 that are 
located in Mecklenburg County in accordance with 
15A NCAC 2D .0902; 

(6) sources required to apply maximum achievable 
control technology (MACT) for hazardous air 
pollutants under 15A NCAC 2D . 1 109 or . 1 1 1 1 or 
40 CFR Part 63 that are required to have a permit 
under Section .0500 of this Subchapter; or 

(7) sources at facilities subject to 15A NCAC 2D 
. 1 100. (If a source does not emit a toxic air 
pollutant for which the facility at which it is 
located has been evaluated, it shall be exempted 
from needing a permit if it qualifies for one of the 
exemptions in Paragraph (b) of this Rule). 

(b) The following activities do not need a permit or permit 
modification under this Subchapter; however, the Director 
may require the owner or operator of these activities to 
register them under 15A NCAC 2D .0200: 

(1) activities exempted because of category (These 
activities shall not be included on the permit 
application or in the permit.): 
(A) maintenance, upkeep, and replacement: 

(i) maintenance, structural changes, or 
repairs which do not change the 
capacity of such process, 
fuel-burning, refuse-burning, or 
control equipment, and do not 
involve any change in quality or 
nature or increase in quantity of 
emission of regulated air pollutants; 
(ii) housekeeping activities or building 
maintenance procedures, including 
painting buildings, resurfacing 
floors, roof repair, washing, portable 
vacuum cleaners, sweeping, use and 
associated storage of janitorial 
products, or insulation removal; 
(iii) use of office supplies, supplies to 
maintain copying equipment, or 
blueprint machines, 
(iv) use of fire fighting equipment; 
(v) paving parking lots; or 
(vi) replacement of existing equipment 
with equipment of the same size, 



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1474 



APPROVED RULES 



type, and function that does not 
result in an increase to the actual or 
potential emission of regulated air 
pollutants and that does not affect the 
compliance status, and with 
replacement equipment that fits the 
description of the existing equipment 
in the permit, including the 
application, such that the replacement 
equipment can be operated under that 
permit without any changes in the 
permit; 

(B) air conditioning or ventilation: comfort air 
conditioning or comfort ventilating systems 
which do not transport, remove, or exhaust 
regulated air pollutants to the atmosphere; 

(C) laboratory activities: 

(i) bench-scale, on-site equipment used 
exclusively for chemical or physical 
analysis for quality control purposes, 
staff instruction, water or wastewater 
analyses, or non-production 
environmental compliance 

assessments; 

(ii) bench-scale experimentation, 

chemical or physical analyses, 
training or instruction from not-for- 
profit, non-production educational 
laboratories; 

(iii) bench-scale experimentation, 

chemical or physical analyses, 
training or instruction from hospitals 
or health laboratories pursuant to the 
determination or diagnoses of illness; 
or 

(iv) research and development laboratory 
activities that are not required to be 
permitted under Section .0500 of this 
Subchapter provided the activity 
produces no commercial product or 
feedstock material; 

(D) storage tanks: 

(i) storage tanks used solely to store fuel 
oils, kerosene, diesel, crude oil, used 
motor oil, lubricants, cooling oils, 
natural gas or liquified petroleum 
gas; 

(ii) storage tanks used to store gasoline 
for which there are no applicable 
requirements except Stage I controls 
under 15A NCAC 2D .0928; 

(iii) storage tanks used solely to store 
inorganic liquids; or 

(iv) storage tanks or vessels used for the 
temporary containment of materials 
resulting from an emergency 
response to an unanticipated release 



of hazardous materials; 

(E) combustion and heat transfer equipment: 

(i) space heaters burning distillate oil, 
kerosene, natural gas, or liquified 
petroleum gas operating by direct 
heat transfer and used solely for 
comfort heat; 

(ii) residential wood stoves, heaters, or 
fireplaces; 

(iii) hot water heaters which are used for 
domestic purposes only and are not 
used to heat process water; 

(F) wastewater treatment processes: industrial 
wastewater treatment processes or municipal 
wastewater treatment processes for which 
there are no applicable requirements; 

(G) gasoline distribution: 

(i) gasoline service stations or gasoline 

dispensing facilities that are not 

required to be permitted under 

Section .0500 of this Subchapter; or 

(ii) gasoline dispensing equipment at 

facilities required to be permitted 

under Section .0500 of this 

Subchapter if the equipment is used 

solely to refuel facility equipment; 

(H) dispensing equipment: equipment used 

solely to dispense diesel fuel, kerosene, 

lubricants or cooling oils; 

(I) solvent recycling: portable solvent 

distillation systems used for on-site solvent 

recycling if: 

(i) The portable solvent distillation 
system is not: 

(I) owned by the facility, and 
(II) operated at the facility for 
more than seven consecutive 
days; and 
(ii) The material recycled is: 

(I) recycled at the site of origin, 
(H) the original material is non- 
photochemically reactive in 
accordance with 15A NCAC 
2D .0518, Miscellaneous 
Volatile Organic Compound 
Emissions, and 
(HI) all make up material is non- 
photochemically reactive in 
accordance with 15A NCAC 
2D .0518; 
(J) processes: 

(i) small electric motor burn-out ovens 
with secondary combustion chambers 
or afterburners; 
(ii) small electric motor bake-on ovens; 
(iii) burn-off ovens for paint-line hangers 
with afterburners; 



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APPROVED RULES 



(iv) hosiery knitting machines and 
associated lint screens, hosiery dryers 
and associated lint screens, and 
hosiery dyeing processes where 
bleach or solvent dyes are not used; 

(v) blade wood planers planing only 
green wood; 
(K) miscellaneous: 

(i) motor vehicles, aircraft, marine 
vessels, locomotives, tractors or 
other self-propelled vehicles with 
internal combustion engines; 
(ii) non-self-propelled non-road engines, 
except generators, regulated by rules 
adopted under Title II of the federal 
Clean Air Act; 

(iii) equipment used for the preparation of 
food for direct on-site human 
consumption; 

(iv) a source whose emissions are 
regulated only under Section 112(r) 
or Title VI of the federal Clean Air 
Act that is not required to be 
permitted under Section .0500 of this 
Subchapter; 
(v) exit gases from in-line process 
analyzers; 

(vi) stacks or vents to prevent escape of 
sewer gases from domestic waste 
through plumbing traps; 

(vii) refrigeration equipment that is 
consistent with Section 601 through 
618 of Title VI (Stratospheric Ozone 
Protection) of the federal Clean Air 
Act, 40 CFR Part 82, and any other 
regulations promulgated by EPA 
under Title VI for stratospheric 
ozone protection, except those units 
used as or in conjunction with air 
pollution control equipment; 
(viii) equipment not vented to the outdoor 
atmosphere with the exception of 
equipment that emits volatile organic 
compounds; 

(ix) equipment that does not emit any 

regulated air pollutants; 
(x) facilities subject only to a 
requirement under 40 CFR Part 63 
that are not required to be permitted 
under Section .0500 of this 
Subchapter (This Subpart does not 
apply when a control device is used 
to meet a MACT or GACT emission 
standard.); or 

(xi) sources for which there are no 
applicable requirements and that are 
at a facility not required to be 



permitted under Section .0500 of this 
Subchapter. 
(2) activities exempted because of size or production 
rate (These activities shall not be included in the 
permit. If the facility is subject to the permitting 
procedures under Section .0500 of this Subchapter, 
these activities shall be listed on the permit 
appliiatiuus, application: otherwise, these 
activities shall not be listed on the permit 
appliidtiuus. ). application.): 

(A) storage tanks: 

(i) above-ground storage tanks with a 
storage capacity of no more than 
1 100 gallons storing organic liquids 
with a true vapor pressure of no more 
than 10.8 pounds per square inch 
absolute at 70°F; or 
(ii) underground storage tanks with a 
storage capacity of no more than 
2500 gallons storing organic liquids 
with a true vapor pressure of no more 
than 10.8 psi absolute at 70°F; 

(B) combustion and heat transfer equipmen t: 
equipment located at a facility not required 
to be permitted under Section .0500 of this 
Subchapter: 

(i) fuel combustion equipment, except 
for internal combustion engines, 
firing exclusively kerosene, No. 1 
fuel oil, No. 2 fuel oil, equivalent 
unadulterated fuels, or a mixture of 
these fuels or one or more of these 
fuels mixed of with natural gas or 
liquified petroleum gas with a heat 
input of less than: 

(I) 10 million BTU per hour for 
which construction, 

modification, or reconstructed 
commenced after June 9, 
1989; or 
(II) 30 million BTU per hour for 
which construction, 

modification, or 

reconstruction commenced 
before June 10, 1989; 
(ii) fuel combustion equipment, except 
for internal combustion engines, 
firing exclusively natural gas or 
liquified petroleum gas or a mixture 
of these fuels with a heat input rating 
less than 65 million BTU per hour; 
(iii) space heaters burning waste oil if: 

(I) The heater burns only oil that 
the owner or operator 
generates or used oil from 
do-it-yourself oil changers 
who generate used oil as 



11:19 



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1476 



APPROVED RULES 



household wastes; 
(II) The heater is designed to have 

a maximum capacity of not 

more than 500,000 Btu per 

hour; and 
(TH) The combustion gases from 

the heater are vented to the 

ambient air; 
(iv) emergency use generators and other 
internal combustion engines not 
regulated by rules adopted under 
Title II of the federal Clean Air Act, 
except self-propelled vehicles, that 
have a rated capacity of no more 
than: 
(I) 310 kilowatts (electric) or 460 

horsepower for natural 

gas-fired engines, 
(II) 830 kilowatts (electric) or 

1 150 horsepower for liquified 

petroleum gas-fired engines, 
(HI) 270 kilowatts (electric) or 

410 horsepower for 

diesel-fired or kerosene- fired 

engines, or 
(IV) 21 kilowatts (electric) or 31 

horsepower for gasoline-fired 

engines; 
(v) portable generators and other 
portable equipment with internal 
combustion engines not regulated by 
rules adopted under Title II of the 
federal Clean Air Act, except self- 
propelled vehicles, that operate at the 
facility no more than a combined 350 
hours for any 365-day period 
provided the generators or engines 
have a rated capacity of no more than 
750 kilowatt (electric) or 1100 
horsepower each and provided 
records are maintained to verify the 
hours of operation; 
(vi) peak shaving generators that produce 
no more than 325,000 kilowatt-hours 
of electrical energy for any 12-month 
period provided records are 
maintained to verify the energy 
production on a monthly basis and on 
a 12-month basis; 

(C) gasoline distribution: bulk gasoline plants 
with an average daily throughput of less 
than 4000 gallons that is not required to be 
permitted under Section .0500 of this 
Subchapter; 

(D) processes: 

(i) printing, paint spray booths or other 
painting or coating operations 



(E) 



without air pollution control devices 
(water wash and filters that are an 
integral part of the paint spray booth 
are not considered air pollution 
control devices) located at a facility 
whose facility-wide actual emissions 
of: 

(I) Volatile organic compounds 
are less than five tons per 
year, and 
(II) Photochemically reactive 

solvent emissions under 15 A 
NCAC 2D .0518 are less than 
30 pounds per day; 
provided the facility is not required 
to be permitted under Section .0500 
of this Subchapter; 
(ii) saw mills that saw no more than 
2,000,000 board feet per year 
provided only green wood is sawed; 
(iii) perchJoroethylene dry cleaners that 
consume less than 13,000 pounds 
(965 gallons) of perchJoroethylene 
per year; 
(iv) electrostatic dry powder coating 
operations equipped with powder 
recovery including curing ovens with 
a heat input of less than 10,000,000 
BTU per hour; 
miscellaneous: 

(i) any source without an air pollution 
control device whose potential 
emissions of particulate, sulfur 
dioxide, nitrogen oxides, volatile 
organic compounds, and carbon 
monoxide are each no more than five 
tons per year and whose potential 
emissions of hazardous air pollutants 
are below their lessor quantity cutoff 
except: 

(1) storage tanks, 
(II) fuel combustion equipment 
equipment, excluding fuel 
combustion equipment at 
facilities required to have a 
permit under Section .0500 of 
this Subchapter. firing 
exclusively kerosene, No. 1 
fuel oil, No. 2 fuel oil, 
equivalent unadulterated fuels, 
natural gas, liquified 

petroleum gas, or a mixture of 
these fuels, 

(III) space heaters burning waste 
oil, 

(IV) generators, excluding 
emergency generators, or 



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other non-self-propelled 

internal combustion engines, 
(V) bulk gasoline plants, 
(VI) printing, paint spray booths, 

or other painting or coating 

operations, 
(VII) saw mills, 
(VIII) perchloroethylene dry 

cleaners, or 
(DC) electrostatic dry powder 

coating operations, 
provided that the total potential 
emissions of particulate, sulfur 
dioxide, nitrogen oxides, volatile 
organic compounds, and carbon 
monoxide from the facility are each 
less than 40 tons per year and the 
total potential emissions of all 
hazardous air pollutants are below 
their lesser quantity cutoff emission 
rates or provided that the facility has 
an air quality permit; 
(ii) any facility without an air pollution 
control device whose actual 
emissions of particulate, sulfur 
dioxide, nitrogen oxides, volatile 
organic compounds, or carbon 
monoxide are each less than five tons 
per year, whose potential emissions 
of all hazardous air pollutants are 
below their lesser quantity cutoff 
emission rates, and which is not 
required to have a permit under 
Section .0500 of this Subchapter; 
(iii) any source that only emits hazardous 
air pollutants that are not also a 
particulate or a volatile organic 
compound and whose potential 
emissions of hazardous air pollutants 
are below their lesser quantity cutoff 
emission rates; or 
(iv) any incinerator covered under 
Paragraph (d) of 15 A NCAC 2D 
.1201. 
(F) case-by-case exemption: 

(i) for activities located at facilities not 
required to have a permit under 
Section .0500 of this Subchapter. 
activities that the applicant 
demonstrates to the satisfaction of the 
Diiectui Director: 
(D to be negligible in their air 

quality impacts, 
(IP not to have any air pollution 

control device, and 
(HO not to violate any applicable 

emission control standard 



when operating at maximum 

design capacity or maximum 

operating rate, whichever is 

great e r, greater: or 

(ii) for activities located at facilities 

required to have a permit under 

Section .0500 of this Subchapter: 

activities that the applicant 

demonstrates to the satisfaction of the 

Director: 

(I) to be ne gligible is their air 

quality impacts. 
(ID not to have any air pollution 

control device. 
(HI) not to violate any applicable 
emission control standard 
when operating at maximum 
desig n capacity or maximum 
operating rate, whichever is 
greater. 
(IV) the potential emissions of each 
criteria pollutant is kss than 
five tons per year, and 
(VI the potential emissions of each 
hazardous air pollutant is less 
than 1000 pounds p er year. 

(c) Because an activity is exempted from being required to 
have a permit does not mean that the activity is exempted 
from any applicable requirement or that the owner or 
operator of the source is exempted from demonstrating 
compliance with any applicable requirement. 

(d) Emissions from stationary source activities identified 
in Paragraph (b) of this Rule shall be included in determining 
compliance with the toxic air pollutant requirements under 
15ANCAC2D.1100or2H .0610. 

(e) The owner or operator of a facility or source claiming 
an exemption under Paragraph (b) of this Rule shall provide 
the Director documentation upon request that the facility or 
source is qualified for that exemption. 

History Note: Filed as a Temporary Adoption Eff. March 

8, 1994 for a period of 180 days or until the permanent rule 

is effective, whichever is sooner; 

Authority G.S. 143-215. 3(a)(1); 143-215. 107(a)(4); 

143-215.108; 

Eff. July 1, 1994; 

Amended Eff. July L 1997: November 1, 1996. 

.0104 WHERE TO OBTAIN AND FILE PERMIT 
APPLICATIONS 

(a) Official application forms for a permit or permit 
modification may be obtained from and shall be filed in 
writing with the Director, Division of Air Quality. 
Enriiuinueiital Manag e m e nt, P.O. Box 29535, Raleigh, 
North Carolina 27626-0535 or any of the regional offices 
listed under Rule .0105 of this Section. 

(b) The number of copies of applications to be filed are 



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1478 



APPROVED RULES 



specified in Rules .0305 (construction and operation permit 
procedures), .0405 (aiid lain p e miit piuiedui e s). .0507 
(Title V permit procedures), and .0602 (transportation 
facility construction air permit procedures) of this 
Subchapter. 

History Note: Filed as a Temporary Adoption Eff. March 

8, 1994 for a period of 180 days or until the permanent rule 

is effective, whichever is sooner; 

Authority G.S. 143-215. 3(a)(l);143-215. 108; 143-215.109; 

Eff. July 1, 1994; 

Amended Eff. July 1 . 1997. 

CHAPTER 10 - WILDLIFE RESOURCES AND 
WATER SAFETY 

SUBCHAPTER 10B - HUNTING AND TRAPPING 

SECTION .0200 - HUNTrNG 

.0203 DEER (WHITE-TAILED) 

(a) Closed Season. All counties and parts of counties not 
listed under the open seasons in Paragraph (b) in this Rule 
shall be closed to deer hunting. 

(b) Open Seasons (All Lawful Weapons) 

(1) Male Deer With Visible Antlers. Mal e deei Deer 
with antlers or spikes protruding through the skin, 
as distinguished from knobs or buttons covered by 
skin or velvet, may be taken during the following 
seasons: 

(A) Monday on or nearest October 15 through 
January 1 in all of Beaufort, Bertie, Bladen, 
Brunswick, Camden, Carteret, Chowan, 
Columbus*, Craven, Currituck, Dare, 
Duplin, Edgecombe, Franklin, Gates, 
Greene, Halifax, Hertford, Hoke, Hyde, 
Johnston, Jones, Lenoir, Martin, Nash, 
New Hanover, Northampton, Onslow, 
Pamlico, Pasquotank, Pender, Perquimans, 
Pitt, Richmond**, Robeson, Sampson, 
Scotland**. Tyrrell, Vance, Wake, Warren, 
Washington, Wayne, and Wilson counties, 
and the following parts of counties: 
Cumberland: That part south of NC 24 or 
east of 1-95; 

Harnett: That part west of NC 87; 
Moore**: All of the county except that part 
north of NC 2 1 1 and west of US 1 ; 
*Unlawful to hunt or kill deer in Lake 
Waccamaw or within 50 yards of its 
shoreline. 

**See 15A NCAC 10D .0003 (f)(52)(B) 
(f)(51)(C) for seasons on Sandhills Game 
Land. 

(B) Monday of Thanksgiving week through the 
third Saturday after Thanksgiving Day in all 
of Alexander, Alleghany, Ashe, Catawba, 



Davie, Forsyth, Gaston, Iredell, Lincoln, 
Stokes, Surry, Watauga, Wilkes, and 
Yadkin counties. 

(C) Monday of Thanksgiving week through the 
third Saturday after Thanksgiving Day in all 
of Avery, Buncombe, Burke, Caldwell, 
Cherokee, Clay, Cleveland, Graham, 
Haywood, Henderson, Jackson, Macon, 
Madison, McDowell, Mitchell, Polk, 
Rutherford, Swain, Transylvania, and 
Yancey counties. 

(D) Monday before Thanksgiving week through 
January 1 in all of Alamance, Anson, 
Cabarrus, Caswell, Chatham, Davidson, 
Durham, Granville, Guilford, Lee, 
Mecklenburg, Montgomery, Orange, 
Person, Randolph, Rockingham, Rowan, 
Stanly, and Union counties, and in the 
following parts of counties: 
Cumb e rland, Cumberland: That part north 
of NC 24 and west of 1-95; 

Harnett, Harnett: That part east of NC 87; 
Muuie, Moore: That part north of NC 211 
and west of US 1; 

(E) Monday on or nearest September 10 through 
January 1 in those parts of Camden, Gates 
and Pasquotank counties known as the 
Dismal Swamp National Wildlife Refuge, in 
those parts of Hyde, Tyrrell and 
Washington counties known as the Pocosin 
Lakes National Wildlife Refuge, and in that 
part of Currituck County known as the 
Mackay Island National Wildlife Refuge. 

(2) Deer of Either Sex. Except on Game Lands, deer 
of either sex may be taken during the open seasons 
and in the counties and portions of counties listed 
in this Subparagraph (See 10D.0003 for either sex 
seasons on Game Lands): 

(A) The open either-sex deer hunting dates 
established by the U.S. Fish and Wildlife 
Service during the period from the Monday 
on or nearest September 10 through January 
1 in those parts of Camden, Gates and 
Pasquotank counties known as the Dismal 
Swamp National Wildlife Refuge, in those 
parts of Hyde, Tyrrell and Washington 
counties known as the Pocosin Lakes 
National Wildife Refuge, and in that part of 
Currituck County known as the Mackay 
Island National Wildlife Refuge and from 
the first Saturday in October through 
January 1 and those parts of Anson and 
Richmond counties known as Pee Dee 
National Wildlife Refuge. 

(B) The open either-sex deer hunting dates 
established by the appropriate military 
commands during the period from Monday 



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APPROVED RULES 



on or nearest October 15 through January 1 
in that part of Brunswick County known as 
the Sunny Point Military Ocean Terminal, 
in that part of Craven County known and 
marked as Cherry Point Marine Base, in 
that part of Onslow County known and 
marked as the Camp Lejeune Marine Base, 
on Fort Bragg Military Reservation, and on 
Camp Mackall Military Reservation. 

(C) Second Saturday in October for youth either 
sex deer hunting by permit only on a 
portion of Belews Creek Steam Station in 
Stokes County designated by agents of the 
Commission. 

(D) The last open day of the Deer with Visible 
Antlers season described in Subparagraph 
fbini of this Rule The second Satuiday in 
Dec e mber in all of Buncombe, Haywood, 
Henderson, Madison, Mitchell, Polk. 
Transylvania, and Yancey counties and the 
following parts of counties: 

Avery: That part south of the Blue Ridge 

Parkway. 

Robeson: That part west of 1-95. 

Scotland: That part south of US 74. 

(E) The last six open days of the Deer With 
Visible Antlers season described in 
Subparagraph (b)(}) of this Rule Weduesday 
thiuugh Sa t urday uf the week fulluwing 
Thanksgiving in all of Burke. Caldwell. 
Catawba. Gaston. Lincoln. McDowell. 
Haine tt , Huke, M e ckl e nburg, and Wataug a 
Tyrrell — luuuties counties. and — in th e 
following paits uf counti e s : 

Camden. That pait suuth uf US-158. 
Cumb e iland. That pait w e st uf 1- 9 5. 
Dare: — exc e pt th e Out e r Banks uuith uf 
Whalebuiie. 

Richmond: That part east of a line funned 
by US 220 hum th e Muntguni e iy Coun t y 
tine — to Ruckinghaiii — and — US — 1 — from 
Ruikingharu to th e Suuth Caiullua line. 
Scutland. That pait nuitli uf US 74. 
Wayne. That pait uurth uf US 70. 

(F) The first six open days and the last six open 
days of the Deer with Visible Antlers season 
described in Subparagraph fb)(l) of this 
Rule Wedn e sday of t he week fulluwuig 
Thanksgiving through Sa t urday of nex t 
succeeding — week in all of Alamanc e , 
Cabauus, Camden. Carteret, Cleveland. 
Casw e ll, Davidsun, — Dm ham, Greene, 
Harnett. Hoke. Guilfuid, — beer; — Moore, 
Oiang e , Pamlico, Pasquotank, Rutherford. 
Tyrrell. Peisun, Randulph, Rockingham, 
Ruwan, Stanly, Uniun, Wak e , Washington, 
Wayne and Wilson counties and in the 



following parts of counties: 
Camd e n: That part nor t h of US-158 
Cabarrus: That part west of US 601. 
Chowan: That part north of US 17 and 
west of NC 32. 

Columbus: That part west of US 74, SR 
1005, andSR 1125. 

Cumberland: That part west east of 1-95. 
Currituck: All of the county except the 
Outer Banks. 

Dare: except the Outer Banks north of 
Whalebone. 

Johnston: That part north of US 70 or west 
of 1-95. 

Nash: That part south of US 64. 
Richmond: That part east of Li tt le River 
and west uf a line formed by US 220 from 
the Montgomery County line to 
Rockingham and US 1 from Rockingham to 
the South Carolina line. 
Robeson: That part east of 1-95. 
Rowan: That part west of US 601. 
Scotland: That part north of US 74. 
Wayn e . That part south of US 70. 
(G) All the open days of Ih§ Deer With Visible 
Antlers season described in Subparagraph 
(bit!) of this Rule in all of Alamance- 
Alexander. Alleghany. Anson. Ashe. 
Beaufort. Bertie. Bladen. Brunswick- 
Caswell. Chatham. Craven. Davidson. 
Davie. Duplin. Durham. Edgecombe- 
Forsyth. Franklin. Gates. Granville. 
Guilford. Halifax. Hertford. Hyde. Iredell. 
Jones. Lee. Lenoir. Martin. Mecklenburg. 
Montgomery. Moore. Northampton. 
Onslow. Orang e. Pender. Perquimans. 
Person. Pitt. Randolph. Rockingham- 
Sampson. Stanly. Stokes. Surry. Union. 
Vance. Wake. Warren. Washing ton. Wilkes 
and Yadkin counties, and irj the following 
parts of counties: Muuday uf Thanksgiving 
week — thiuugh — the — third Sa t urday — after 
Thanksgiving Day in that pait uf Bmncuinb e 
Cuuuty: 

Buncombe: that part east of NC 191, south 
of the French Broad and Swannanoa Rivers, 
west of US 25, and north of SR 3503, NC 
146 and SR 3501. 

Cabarrus: that part east of US 60 1 , 
Chowan: That part south of US 17 or east 
ofNC32. 

Columbus: That part east of a line formed 
by US 74. SR 1005. and SR 1 125. 
Cumberland: that part east of 1-95. 
Dare: That p art of the Outer Banks north of 
Whalebone- 
Johnston: That p art south of US 70 and east 



11:19 



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January 2, 1997 



1480 



APPROVED RULES 



of 1-95. 

Nash; That part north of US 64. 

New Hanover: That part north of US 74. 

Richmond: That part west of a line formed 

by US 220 from the Montgomery County 

line to Rockingham and US I from 

Rockingham to the South Carolina Line. 

Rowan: That part east of US 60 1 . 

frr) W e dnesday of — the week following 

Thaiiksgiv iug tniough January 1 in all uf 



Anson, 



Beaufort, 



Ber t i e 



Blad e n. 



Biunswkk, — Chatham, — Ciav e n, — Duplin, 
Edgecuinbe, — Fianklin, Gates, Gianville, 
Halifax, H e rtford, Hyde, Jones, Lenoir, 

Martin, Montgomery; Northampton, 

Onslow, P e udei , P c iquinians, Prttr 

Sampson, Vance, and Wan e n coun t i e s, and 
in th e following paits of coun t i e s: 
Chowan: 
ofNC32 



That pai t sou t h of US 17 ui east 



Columbus: — That part eas t of a line funned 

by US 74, SR 1005, and SR 1125. 

Daie. Tliat part of th e Out e i Banks north of 

Whal e bone. 

Julinstun. That part suuth uf US 70 and e as t 

of 1- 9 5. 

Nash. That part nurth of US 64. 

New Hanovei. That par t nor t h of US 74. 

Richmond. Tha t part wes t uf Little River . 

fr) Th e secund Wedn e sday aftei Thanksgiving 

t hrough the t hird Sa t urday after 



Thanksgiving — in— 
All e ghany, — Ash e , 



-aH- 



rf — Al e xaud e 



Cl e v e land, 



Davi e . 



Fuisyth, Ired e ll, Rutheifuid, Stukes, Suny, 

Wilkes and Yadkin coun t i e s. 
fi) The tlind Fi iday aftei Thanksgiving through 

die third Satuiday af t er Thanksgiving in all 

of; — Buik e , — Caldw e ll, — Catawba, — Gas t on, 

Lincoln, McDuw e ll, Pulk, and Watauga, 

cuuiiti e s. 
(K) In thos e coun t ies or parts of coun t ies lis te d 

in Paragraph (b) (2) (H), t wo antl e il e ss d e er 



i t uf t he 



may b e taken during t ha t par t o t t n e regular 
gurr seasun in which nu uthei eith e r s e x 
seasun is upen and shall b e tagged wi t h t h e 
An t l e rl e ss d e er tag or t he Bonus Antleiless 
d e ei tag. 



its of counties list e d 



ffc) In thos e coun t i e s or parts o t counties list 

in Part (b)(2)(F), one an t lerless deer may be 
tak e n during tha t part uf th e tegular gurr 
s e ason in which nu uth e i e itli e i-s e x season 
rs — upen and shall — be — tagged wi t h — the 
An t lerless d e er tag. 

(Mj In Alexand e r, — All e ghany, — Ash e , — Davi e , 

Fuisyth. li e d e ll. Stukes, Surry, Wilk e s, and 
Yadkin counties, un e antlerless d e ei may b e 
tak e n duiing that part of the i c gulai gun 



season or that part uf th e muzzlciuading 
s e asun in which uu uth e i e ithei-s e x seasun 
is — open and shall — be — tagged — with the 
Antl e rless deei tag. 

(c) Open Seasons (Bow and Arrow) 

(1) Authorization. Subject to the restrictions set out in 
Subparagraph (2) of this Paragraph and the bag 
limits set out in Paragraph (e) of this Rule, deer of 
either sex may be taken with bow and arrow 
during the following seasons: 

(A) Monday on or nearest September 10 to the 
fourth Saturday thereafter in the counties 
and parts of counties having the open season 
for Deer With Visible Antlers mal e deei 
specified by Part (A) of Subparagraph (b)(1) 
of this Rule, except on the Sandhills Game 
Land and the area known as the Outer Banks 
in Currituck County. 

(B) Monday on or nearest September 10 to the 
second Saturday before Thanksgiving in the 
counties and parts of counties having the 
open seasons for Deer With Visible Antlers 
mal e — deer specified by Part (B) of 
Subparagraph (b)(1) of this Rule. 

(C) Monday on or nearest September 10 to the 
fourth Saturday thereafter, and Monday on 
or nearest October 15 to the Saturday before 
Thanksgiving in the counties and parts of 
counties having the open seasons for Deer 
With Visible Antlers mal e deei specified by 
Part (C) of Subparagraph (b)(1) of this 
Rule. 

(D) Monday on or nearest September 10 to the 
third Saturday before Thanksgiving in the 
counties and parts of counties having the 
open season for Deer With Visible Antlers 
mal e — deer specified by Part (D) of 
Subparagraph (b)(1) of this Rule, and on 
Sandhills Game Land. 

(2) Restrictions 

(A) Dogs may not be used for hunting deer 
during the bow and arrow season. 

(B) It is unlawful to carry any type of firearm 
while hunting with a bow during the bow 
and arrow deer hunting season. 

(C) Only bows and arrows of the types 
authorized in 15A NCAC 10B .0116 for 
taking deer may be used during the bow and 
arrow deer hunting season. 

(d) Open Seasons (Muzzle-Loading Rifles and Shotguns) 
(1) Authorization. Subject to the restrictions set out in 

Subparagraph (2) of this Paragraph, deer may be 
taken only with muzzle-loading firearms (except 
that bow and arrow may be used on designated and 
posted game land Archery Zones) during the 
following seasons: 
(A) Monday on or nearest October 8 to the 



1481 



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January 2, 1997 



11:19 



APPROVED RULES 



following Saturday in the counties and parts 
of counties having the open seasons for 
Deer With Visible Antlers male deei 
specified by Items (A) and (C) of 
Subparagraph (b)(1) of this Rule, except on 
Sandhills Game Land and the area known as 
the Outer Banks in Currituck County. 

(B) Monday to Saturday of the week preceding 
Thanksgiving week in the counties and parts 
of counties having the open seasons for 
Deer With Visible Antlers male deer 
specified by Item (B) of Subparagraph (b)( 1 ) 
of this Rule. 

(C) Monday to Saturday of the second week 
before Thanksgiving week in the counties 
and parts of counties having the open season 
for Deer With Visible Antlers mal e deer 
specified by Part (D) of Subparagraph (b)(1) 
of this Rule, and on Sandhills Game Land. 

(2) Restrictions 

(A) Deer of either sex may be taken during 
muzzle-loading firearms season in and east 
of the following counties: Rutherford. 
McDowell. Burke. Caldwell. Wilkes, and 
Ashe. Deer thos e counties ui paits u f 
counties listed in Pajts (A) and (D) of 
Subpaiagiaph (b) (1) of this Rule and deer 
of either sex may be taken on the last day of 
muzzle-loading firearms season in all other 
counties, those counti e s ui paits of counties 
listed in Pait (B) and (C) of Subpaiagiaph 
(b) (1) of this Rule. 

(B) Dogs may shall not be used for hunting deer 
during the muzzle-loading firearms seasons. 

(C) Pistols may shall not be carried while 
hunting deer during the muzzle-loading 
firearms seasons. 

(e) The daily bag limit shall be two and the possession 
limit six five, two one of which shall be antlerless. The 
season limit shall be six frve, two one of which shall be 
antlerless. hi those aieas listed in Pai t (b)(2)(H) of this Rul e , 
except on Gam e Lands, one additional antleiless deei may b e 
tak e n pi o vided it is tagged with the Bonus Antlerl e ss deer 
tagr Antlerless deer include males with knobs or buttons 
covered by skin or velvet as distinguished from spikes 
protruding through the skin. The antlerless bag limits 
described above do not apply to antlerless deer harvested in 
areas covered in the Deer Management Assistance Program 
as described in GS 1 13-291. 2(e). Individual daily antlerless 
bag limits on these areas shall be determined by the number 
of special tags, issued by the Division of Wildlife 
Management as authorized by the Executive Director, that 
shall be in the possession of the hunter. Season antlerless 
bag limits shall be set by the number of tags available. All 
antlerless deer harvested on these areas, regardless of the date 
of harvest, shall be tagged with these special tags but do not 
have to be tagged with Big Game Tags provided with the 



hunting license. 

(f) Kill Reports. The carcass of each deer shall be tagged 
and the kill reported as provided by 15A NCAC 10B .01 13. 

History Note: Authority G.S. 113-134; 113-270.3; 

113-276.1; 113-291.1; 113-291.2; 

Eff. February 1, 1976; 

Amended Eff July 1^ 1997: July 1, 1996; July 1, 1995; 

December 1, 1994; July 1, 1994; July 1, 1993. 

SUBCHAPTER IOC - INLAND FISHING 
REGULATIONS 

SECTION .0200 - GENERAL REGULATIONS 

.0205 PUBLIC MOUNTAIN TROUT WATERS 

(a) Designation of Public Mountain Trout Waters. The 
waters listed herein or in 15A NCAC 10D .0004 are 
designated as Public Mountain Trout Waters and further 
classified as Wild Trout Waters or Hatchery Supported 
Waters. For specific classifications, see Subparagraphs (1) 
and (2) of this Paragraph. These waters are posted and lists 
thereof are filed with the clerks of superior court of the 
counties in which they are located: 

(1) Hatchery Supported Trout Waters. The listed 
waters in the counties in Subparagraphs (1)(A)-(Y) 
are classified as Hatchery Supported Public 
Mountain Trout Waters. Where specific 
watercourses or impoundments are listed, 
indentation indicates that the watercourse or 
impoundment listed is tributary to the next 
preceding watercourse or impoundment listed and 
not so indented. This classification applies to the 
entire watercourse or impoundment listed except as 
otherwise indicated in parentheses following the 
listing. Other clarifying information may also be 
included parenthetically. The tributaries of listed 
watercourses or impoundments are not included in 
the classification unless specifically set out therein. 
Otherwise, Wild Trout regulations apply to the 
tributaries. 
(A) Alleghany County: 

New River (not trout water) 

Little River (Whitehead to McCann Dam) 
Crab Creek 

Brush Creek (except where posted 
against trespass) 
Big Pine Creek 
Laurel Branch 
Big Glade Creek 
Bledsoe Creek 
Pine Swamp Creek 

Waterfalls Creek (South Fork Little 
River)(except where posted against 
trespass) 

South Fork New River (not trout water) 
Prather Creek 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1482 



APPROVED RULES 



Cranberry Creek 

Piney Fork 

Meadow Fork 
Yadkin River (not trout water) 
Roaring River (not trout water) 
East Prong Roaring River (that portion on 
Stone Mountain State Park) Delayed 
Harvest Waters regulations apply. See 
Subparagraph (5) of Paragraph (a) of this 
Rule. 

(B) Ashe County: 

New River (not trout waters) 

North Fork New River (Watauga Co. line to 
Sharp Dam) 

Helton Creek (Virginia State line to New 

River) 

Big Horse Creek (SR 1361 bridge to 

Tuckerdale) 

Buffalo Creek (headwaters to junction of 

NC 194-88 and SR 1131) 

Big Laurel Creek 

Three Top Creek (portion not on game 

lands) 

Hoskins Fork (Watauga County line to 

North Fork New River) 
South Fork New River (not trout waters) 

Cranberry Creek (Alleghany County line 

to South Fork New River) 

Nathans Creek 

Peak Creek (headwaters to Trout Lake, 

except Blue Ridge Parkway waters) 

Trout Lake (Delayed harvest regulations 

apply. See Subparagraph (5) of 

Paragraph (a) of this Rule.) 

Roan Creek 

North Beaver Creek 

South Beaver Creek (headwaters to Ashe 

Lake) 

Pine Swamp Creek (all forks) 

Old Fields Creek 

Mill Creek (except where posted against 

trespass) 

(C) Avery County: 

Nolichucky River (not trout waters) 

North Toe River (headwaters to Mitchell 
County line, except where posted against 
trespass) 

Squirrel Creek 
Elk River (SR 1306 crossing to Tennessee 
State line, including portions of tributaries 
on game lands) 

Catawba River (not trout water) 
Johns River (not trout water) 
Wilson Creek [not Hatchery Supported 
trout water, see Subparagraph (2) of 
Paragraph (a) of this Rule] 

Lost Cove Creek [not Hatchery 



Supported trout water, see 
Subparagraph (4) of Paragraph (a) of 
this Rule] 
Gragg Prong (including tributaries) 
Webb Prong (including tributaries) 
Buck Timber Creek [not Hatchery 
Supported trout water, see Subparagraph (2) 
of Paragraph (a) of this Rule] 
Cary Flat Branch [not Hatchery Supported 
trout water, see Subparagraph (2) of 
Paragraph (a) of this Rule] 
Boyde Coffey Lake 
Archie Coffey Lake 
Linville River [Land Harbor line (below dam) 
to Blue Ridge Parkway boundary line, except 
where posted against trespass] 
Milltimber Creek 

(D) Buncombe County: 

French Broad River (not trout water) 

Big Ivy Creek (Ivy River) (Dillingham 
Creek to US 19-23 bridge) 

Dillingham Creek (Corner Rock Creek 

to Big Ivy Creek) 

Stony Creek 

Mineral Creek (including portions of 

tributaries on game lands) 

Corner Rock Creek (including 

tributaries, except Walker Branch) 
Reems Creek (Sugar Camp Fork to US 19-23 
bridge, except where posted against trespass) 
Swannanoa River (SR 2702 bridge near 
Ridgecrest to Sayles Bleachery in Asheville, 
except where posted against trespass) 
Bent Creek (headwaters to N.C. Arboretum 
boundary line, including portions of 
tributaries on game lands) 

Lake Powhatan 
Cane Creek (headwaters to SR 3138 bridge) 

(E) Burke County: 

Catawba River (not trout water) 

South Fork Catawba River (not trout water) 
Henry Fork (lower Morganton 
watershed line downstream to SR 1919 
at Ivy Creek) 

Jacob Fork (Shinny Creek to lower 
South Mountain State Park boundary) 
Delayed Harvest 

Regulations apply. See 

Subparagraph (a)(5) of this Rule. 
Johns River (not trout water) 

Parks Creek (portion not on game lands 
not trout water) 

Carroll Creek (game lands portion 

above SR 1405 including tributaries) 

Linville River (game lands portion below 

the Blue Ridge Parkway including portions 

of tributaries on game lands and from first 



1483 



NORTH CAROLINA REGISTER 



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11:19 



APPROVED RULES 



bridge on SR 1223 below Lake James 
powerhouse to Muddy Creek) 

(F) Caldwell County: 
Catawba River (not trout water) 

Johns River (not trout water) 

Wilson Creek (Phillips Branch to 
Browns Mountain Beach dam, except 
where posted against trespass) 

Estes Mill Creek (not trout water) 
Thuipe Thorps Creek (falls to NC 90 
bridge) 
Mulberry Creek (portion not on game lands 
not trout water) 

Boone Fork (not Hatchery Supported 
trout water. See Subparagraph (2) of 
Paragraph (a) of this Rule) 
Boone Fork Pond 

(G) Cherokee County: 
Hiwassee River (not trout water) 

Shuler Creek (headwaters to Tennessee line, 

except where posted against trespass 

including portions of tributaries on game 

lands) 

North Shoal Creek (Crane Creek) 

(headwaters to SR 1325, including portions 

of tributaries on game lands) 

Persimmon Creek 

Davis Creek (including portions of 

tributaries on game lands) 

Bald Creek (including portions of 

tributaries on game lands) 
Beaver Dam Creek (headwaters to SR 1326 
bridge, including portions of tributaries on 
game lands) 
Valley River 

Hyatt Creek (including portions of 

tributaries on game lands) 

Webb Creek (including portions of 

tributaries on game lands) 

Junaluska Creek (Ashturn Creek to 

Valley River, including portions of 

tributaries on game lands) 
(H) Clay County: 

Hiwassee River (not trout water) 

Fires Creek (first bridge above the lower 
game land line on US Forest Service road 
442 to SR 1300) 

Tusquitee Creek (headwaters to lower SR 
1300 bridge, including portions of Bluff 
Branch on game lands) 

Tuni Creek (including portions of 

tributaries on game lands) 
Chatuge Lake (not trout water) 
Shooting Creek ( headwate rs SR 1349 bridg e 
to US 64 bridge at SR 1338) 

Hothouse Branch (including portions of 

tributaries on gamelands) 



Vineyard Creek (including portions of 
tributaries on game lands) 
(T) Graham County: 

Little Tennessee River (not trout water) 

Calderwood Reservoir (Cheoah Dam to 
Tennessee State line) 
Cheoah River (not trout water) 
Yellow Creek 

Santeelah Reservoir (not trout water) 
West Buffalo Creek 

Huffman Creek (Little Buffalo 
Creek) 
Santeelah Creek (Johns Branch to 
mouth including portions of 
tributaries within this section located 
on game lands, excluding Johns 
Branch) 
Big Snowbird Creek (old railroad 
junction to mouth, including portions of 
tributaries on game lands) 
Mountain Creek (game lands boundary 
toSR 1138 bridge) 

Long Creek (portion not on game 
lands) 

Tulula Creek (headwaters to lower 
bridge on SR tt¥) 12751 
Franks Creek 
Cheoah Reservoir 
Fontana Reservoir (not trout water) 
Stecoah Creek 
Sawyer Creek 

Panther Creek (including portions of 
tributaries on game lands) 
(J) Haywood County: 

Pigeon River (not trout water) 

Hurricane Creek (including portions of 
tributaries on game lands) 
Cold Springs Creek (including portions of 
tributaries on game lands) 
Jonathans Creek - lower (concrete bridge in 
Dellwood to Pigeon River) 
Jonathans Creek - upper [SR 1302 bridge 
(west) to SR 1307 bridge] 
Hemphill Creek 

West Fork Pigeon River (headwaters to 
Champion International property line, 
including portions of tributaries within 
this section located on game lands, 
except Middle Prong) 
Richland Creek (Russ Avenue bridge to US 
19A-23 bridge) Delayed Harvest 
Regulations apply. See Subparagraph (a)(5) 
of this Rule. 
(K) Henderson County: 

Biuad Riv e i (nut tiuu t water) 

Rucky (Rocky) Broad River (one-half mile 
north of Bat Cave to Rutherford County 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1484 



APPROVED RULES 



line) 

Green River - upper (mouth of Bob Bobs 

Creek to mouth of Rock Creek) 

Green River - lower (Lake Summit Dam to 

Polk County line) 

Camp Creek (SR 1919 to Polk County 

line) 

Big CBig) Hungry River 
Little Hungry River 
French Broad River (not trout water) 
Mills River (not trout water) 

North Fork Mills River (game lands 

portion below the Hendersonville 

watershed dam). Delayed Harvest 

Regulations apply. See Subparagraph 

(a)(5) of this Rule. 
(L) Jackson County: 

Tuckasegee River (confluence with West 
Fork Tuckasegee River to SR 1392 bridge 
at Wilmot) Delayed Harvest Regulations 
apply to that portion between NC 107 
bridge at Love Field and NC 1 16 bridge at 
Webster. See Subparagraph (a)(5) of this 
Rule. 

Scott Creek (entire stream, except where 
posted against trespass) 

Dark Ridge Creek (Jones Creek to Scotts 

Creek) 

Buff Creek (SR 1457 bridge below Bill 

Johnson's place to Scott Creek) 
Savannah Creek (Headwaters to Bradley's 
Packing House on NC 116) 

Greens Creek (Greens Creek Baptist 

Church on SR 1730 to Savannah Creek) 
Cullowhee Creek (Tilley Creek to 
Tuckasegee River) 
Bear Creek Lake 

Wolf Creek [not Hatchery Supported trout 
water, see Subparagraph (2) of Paragraph 
(a) of this Rule] 

Wolf Creek Lake 

Balsam Lake 
Tanasee Creek [not Hatchery Supported 
trout water, see Subparagraph (2) of 
Paragraph (a) of this Rule] 

Tanasee Creek Lake 
West Fork Tuckasegee River (Shoal Creek 
to existing water level of Little Glenville 
Lake) 

Shoal Creek (Glenville Reservoir 

pipeline to mouth) 
(M) Macon County: 

Little Tennessee River (not trout water) 

Nantahala River (Nantahala Dam to Swain 
County line) Delayed Harvest Regulations 
apply to the portion from Whiteoak Creek 
to the Nantahala Power and Light 



powerhouse discharge canal. See 

Subparagraph (a)(5) of this Rule. 
Queens Creek Lake 

Burningtown Creek (including portions of 
tributaries on game lands) 
Cullasaja River (Sequoah Dam to US 64 
bridge near junction of SR 1672, including 
portions of tributaries on game lands, 
excluding those portions of Big Buck Creek 
and Turtle Pond Creek on game lands. 
Wild trout regulations apply. See 
Subparagraphs (2) and (6) of Paragraph (a) 
of this Rule.) 

Ellijay Creek (except where posted 
against trespass, including portions of 
tributaries on game lands) 
Skitty Creek 

Cliffside Lake 
Cartoogechaye Creek (US 64 bridge to 
Little Tennessee River) 
Tessentee Creek (Nichols Branch to 
Little Tennessee River, except where 
posted against trespassing) 
Savannah River (not trout water) 

Big Creek (base of falls to Georgia State 
line, including portions of tributaries 
within this Section located on game 
lands) 
(N) Madison County: 

French Broad River (not trout water) 

Shut-in Creek (including portions of 
tributaries on game lands) 
Spring Creek (junction of NC 209 and NC 
63 to lower US Forest Service boundary 
line, including portions of tributaries on 
game lands) 

Meadow Fork Creek 

Roaring Fork (including portions of 
tributaries on game lands) 
Little Creek 
Max Patch Pond 
Mill Ridge Pond 
Big Laurel Creek (Mars Hill Watershed 
boundary to Rice's Mill Dam) 

Shelton Laurel Creek (headwaters to NC 
208 bridge) 

Big Creek (headwaters to lower game 
land boundary, including tributaries) 
Mill Creek 
Big Pine Creek 

Puncheon Fork (Hampton Creek to 
Big Laurel Creek) 
(O) McDowell County: 

Catawba River (portion not on game lands, not 
trout water) 

Buck Creek (portion not on game lands, not 
trout water) 



1485 



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11:19 



APPROVED RULES 



Little Buck Creek (game land portion 
including portions of tributaries on game 
lands) 

Curtis Creek (Newberry Creek to US 70 

bridge) 

North Fork Catawba River (headwaters to 

North Cove School, SR 1569) 

Armstrong Creek (Cato Holler line 
downstream to upper Greenlee line) 

Mill Creek (upper railroad bridge to U.S. 

70 Bridge, except where posted against 

trespass) 
(P) Mitchell County: 

Nolichucky River (not trout water) 

Big Rock Creek (headwaters to NC 226 

bridge at SR 1307 intersection) 

Little Rock Creek (Green Creek Bridge 
to Big Rock Creek, except where posted 
against trespass) 

Cane Creek (SR 1219 to Nolichucky River) 

Grassy Creek (East Fork Grassy Creek to 

mouth) 

East Fork Grassy Creek 

North Toe River (Avery County line to SR 

1121, Altapass Road) 
(Q) Polk County: 

Broad River (not trout water) 

North Pacolet River (Pacolet Falls to NC 

108 bridge) 

Fork Creek (Fork Creek Church on SR 
«29 1100 to North Pacolet River) 
Big Fall Creek (portion above and below 
water supply reservoir) 

Green River (Henderson County line to 

mouth of Brights Creek) 

Little Cove Creek (including portions of 
tributaries on game lands) 
Cove Creek (including portions of 
tributaries on game lands) 
Camp Creek [Henderson County line 
(top of falls) to Green River] 
Fulloms Creek (SR 1154 to Green 
River, including portions of tributaries 
on game lands) 
(R) Rutherford County: 

Biuad Riv e i ' (no t tiout wat e r) 

Ruiky (Rocky) Broad River (Henderson 

County line to head of rapids at Goose Pond 

Hole, except where posted against trespass) 
(S) Stokes County: 

Dan River (SR 1416 bridge downstream to a 
point 200 yards below the end of SR 1421) 
(T) Surry County: 

Yadkin River (not trout water) 

Ararat River (SR 1727 downstream to the 

Business US 52 bridge) Delayed Harvest 

regulations apply. See Subparagraph (5) of 



Paragraph (a) of this Rule. 

Stewarts Creek (not trout water) 

Pauls Creek (Virginia State line to 
0.3 mile below SR 1625 bridge - 
lower Caudle property line) 
Fisher River (Cooper Creek) 
(Virginia State line to NC 89 bridge) 
Little Fisher River (Virginia State 
line to NC 89 bridge) 
(U) Swain County: 

Little Tennessee River (not trout water) 

Calderwood Reservoir (Cheoah Dam to 
Tennessee State line) 
Cheoah Reservoir 
Fontana Reservoir (not trout water) 
Alarka Creek 

Nantahala River (Macon County line to 
existing Fontana Reservoir water level) 
Tuckasegee River (not trout water) 

Deep Creek (Great Smoky Mountains 
National Park boundary line to 
Tuckasegee River) 

Connelly Creek (including portions of 
tributaries on game lands) 
(V) Transylvania County: 

French Broad River (junction of west and north 
forks to US 276 bridge) 

Davidson River (Avery Creek to Ecusta 

intake) 

East Fork French Broad River (Glady 

Biauch Fork to French Broad River) 

Middle Fork French Broad River 

West Fork French Broad River (SR 1312 

and SR 1309 intersection to junction of west 

and north forks, including portions of 

tributaries within this section located on 

game lands) 

Savannah River (not trout water) 

Thompson River (SR 1152 to South 
Carolina state line, except where posted 
against trespass, including portions of 
tributaries within this section located on 
game lands) 
(W) Watauga County: 

New River (not trout waters) 

North Fork New River (from confluence 
with Maine and Mine branches to Ashe 
County line) 

Maine Branch (headwaters to North Fork 
New River) 

South Fork New River (not trout water) 
Meat Camp Creek 

Norris Fork Creek 
Howards Creek (downstream from lower 
falls) 
Middle Fork New River (Lake Chetola Dam 
to South Fork New River) 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1486 



APPROVED RULES 



Yadkin River (not trout water) 

Stony Fork (headwaters to Wilkes County 
line) 

Elk Creek (headwaters to gravel pit on SR 
1508, except where posted against trespass) 
Watauga River (SR 1559 at Foscoe downstream 
to NC 105 bridge) Delayed Harvest 
Regulations apply. See Subparagraph (5) of 
Paragraph (a) of this Rule. 
Beech Creek 

Buckeye Creek Reservoir 
Coffee Lake 
Laurel Creek 

Cove Creek (SR 1233 bridge at Zionville to SR 
1233 bridge at Amantha) 

Dutch Creek (second bridge on SR 1134 to 
mouth) 

Boone Fork (headwaters to SR 1562) 
(X) Wilkes County: 

Yadkin River (not trout water) 
Roaring River (not trout water) 

East Prong Roaring River (Bullhead 
Creek to Brewer's Mill on SR 1943) 
(Delayed harvest regulations apply to 
portion on Stone Mountain State Park) 
See Subparagraph (5) of Paragraph (a) of 
this Rule. 

Stone Mountain Creek (Delayed 
Harvest Regulations apply. See 
Subparagraph (5) of Paragraph (a) of 
this Rule.) 
Middle Prong Roaring River (headwaters to 
second bridge on SR 1736) 

Double Creek (Harris Creek to Middle 
Prong Roaring River) 
Harris Creek (end of SR ¥H6 1736 to 
mouth) Double Creek) 
Prtt Bell Branch Pond 
Boundary Line Pond 
West Prong Roaring River (not trout 
waters) 

Pike Creek 

Pike Creek Pond 
Reddies River (not trout water) 

Middle Fork Reddies River (Clear 
Prong) (headwaters to bridge on SR 
1580) 

South Fork Reddies River 

(headwaters to N€ — r6 — bridg e ) 

confluence with Middle Fork Reddies 

River) 

North Fork Reddies River (Vannoy 

Creek) (headwaters to Union School 

bridge on SR 1559) 

Darnell Creek North — Piuug 
Reddi e s Rivei — (Darnell Creek) 
(North Prong Reddies River) 



(downstream ford on SR 1569 to 
confluence with North Fork 
Reddies River ) 
Lewis Fork Creek (not trout water) 

South Prong Lewis Fork (headwaters to 
Lewis Fork Baptist Church) 

Fall Creek (except portions posted 
against trespass) 
(Y) Yancey County: 

Nolichucky River (not trout water) 

Cane River [Bee Branch (SR 1110) to 
Bowlens Creek] 

Bald Mountain Creek (except portions 
posted against trespass) 

Indian Creek (not trout water) 

Price Creek (junction of SR 1 120 and 
SR 1121 to Indian Creek) 
North Toe River (not trout water) 
South Toe River (Clear Creek to lower 
boundary line of Yancey County recreation 
park except where posted against trespass) 
(2) Wild Trout Waters. All waters designated as 
Public Mountain Trout Waters on the game lands 
listed in Subparagraph (b)(2) of 15A NCAC 10D 
.0004, are classified as Wild Trout Waters unless 
specifically classified otherwise in (A)(1) of this 
Rule. The trout waters listed in this Subparagraph 
are also classified as Wild Trout Waters. 

(A) Alleghany County: 

Big Sandy Creek (portion on Stone Mountain 

State Park) 

Ramey Creek (entire stream) 

Stone Mountain Creek (that portion on Stone 

Mountain State Park) 

(B) Ashe County: 

Big Horse Creek (Virginia State Line to SR 
1361 bridge) Catch and Release/ Artificial 
Lures Only Regulations apply. See 

Subparagraph (a)(3) of this Rule. 

(C) Avery County: 
Birchfield Creek (entire stream) 
Cow Camp Creek (entire stream) 
Cranberry Creek (entire stream) 
Horse Creek (entire stream) 
Jones Creek (entire stream) 
Kentucky Creek (entire stream) 
North Harper Creek (entire stream) 
Plumtree Creek (entire stream) 
Roaring Creek (entire stream) 
Rockhouse Creek (entire stream) 
South Harper Creek (entire stream) 

Wilson Creek (Catch and Release/ Artificial 
Lures Only Regulations apply. See 
Subparagraph (a)(3) of this Rule.) 

(D) Buncombe County: 

Carter Creek (game land portion) (Catch and 
Release/ Artificial Lures only regulations apply. 



1487 



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11:19 



APPROVED RULES 



See Subparagraph (3) of Paragraph (a) of this 
Rule.) 

(E) Burke County: 

All waters located on South Mountain State 
Park, except the main stream of Jacob Fork 
between the mouth of Shinny Creek and the 
lower park boundary where delayed harvest 
icguldtious apply, regulations, and Henry Fork 
and tributaries where catch and release/artificial 
lures only regulations apply. See Subparagraph 
Subparagraphs (31 and (5) of Paragraph (a) of 
this Rule. 

(F) Caldwell County: 

Buffalo Creek (headwaters to lower Dahl 
property line) 

Joe Fork (Watauga County line to falls) 
Rockhouse Creek (entire stream) 

(G) Graham County: 

South Fork Squalla Squally Creek (entire 
stream) 

Squalla Squally Creek (entire stream) 
(H) Jackson County: 

Gage Creek (entire stream) 
North Fork Scott Creek (entire stream) 
Tanasee Creek (entire stream) 
Whitewater River (downstream from Silver 
Run Creek to South Carolina State line) 
Wolf Creek (entire stream, except Balsam Lake 
and Wolf Creek Lake) 
(I) Madison County 

Spillcorn Creek (entire stream) 
(J) Mitchell County: 

Green Creek (headwaters to Green Creek 
Bridge, except where posted against trespass) 
Little Rock Creek (headwaters to Green Creek 
Bridge, including all tributaries, except where 
posted against trespass) 
Wiles Creek (game land boundary to mouth) 
(K) Transylvania County: 

Whitewater River (downstream from Silver 
Run Creek to South Carolina State line) 
(L) Watauga County: 

Boone Fork (Blue Ridge Parkway boundary 
line to Watauga River) [Catch and Release Fly 
Fishing Only regulations apply. See 

Subparagraph (4) of Paragraph (a) of this 
Rule.] 

Dutch Creek (headwaters to second bridge 

onSR 1134) 

Howards Creek (headwaters to lower falls) 

Watauga River (Avery County line to SR 

1559) 
(M) Wilkes County: 

Big Sandy Creek (portion on Stone Mountain 

State Park) 

Garden Creek (portion on Stone Mountain State 

Park) 



Harris Creek and tributaries [portions on Stone 
Mountain State Park) [Catch and Release 
Artificial Lures Only regulations apply. See 
Subparagraph (4) of Paragraph (a) of this 
Rule.] 

Widow Creek (portion on Stone Mountain State 
Park) 
(N) Yancey County: 

Lickskillet Creek (entire stream) 
Middle Creek (game land boundary to mouth) 
Rock Creek (game land boundary to mouth) 
South Toe River (game land boundary 
downstream to Clear Creek) 

(3) Catch and Release/ Artificial Lures Only Trout 
Waters. Those portions of designated wild trout 
waters as listed in this Subparagraph, including 
tributaries except as noted, are further classified as 
Catch and Release/ Artificial Lures Only waters. 
Only artificial lures having one single hook may be 
used. No fish may be harvested or be in 
possession while fishing these streams: 

(A) Ashe County: 

Big Horse Creek (Virginia State line to SR 
1361 bridge excluding tributaries) 
Three Top Creek (portion located on Three Top 
Mountain Game Lands) 

(B) Avery County: 

Wilson Creek (game land portion) 

(C) Buncombe County: 

Carter Creek (game land portion) 

(D) Burke County: 

Henry Fork (portion on South Mountains State 
Park) 

(E) (©) Jackson County: 
Flat Creek 

Tuckasegee River (upstream of Clarke 
property) 

(F) (E) McDowell County: 
Newberry Creek (game land portion) 

(G) (F) Wilkes County: 

Harris Creek (portion on Stone Mountain State 
Park) 
(H) (G) Yancey County: 
Lower Creek 
Upper Creek 

(4) Catch and Release/ Artificial Flies Only Trout 
Waters. Those portions of designated wild trout 
waters as listed in this Subparagraph, including 
tributaries except as noted, are further classified as 
Catch and Release/Fly Fishing Only waters. Only 
artificial flies having one single hook may be used. 
No fish may be harvested or be in possession while 
fishing these streams: 

(A) Avery County: 

Lost Cove Creek (game land portion, excluding 
Gragg Prong and Rockhouse Creek) 

(B) Transylvania County: 



NORTH CAROLINA REGISTER 



January 2, 1997 



1488 



APPROVED RULES 



Davidson River (headwaters to Avery Creek, 
excluding Avery Creek, Looking Glass Creek 
and Grogan Creek) 

(C) Watauga County: 

Boone Fork (portion between Blue Ridge 
Parkway boundary and the Watauga River) 

(D) Yancey County: 

South Toe River (portion from the concrete 
bridge above Black Mountain Campgroup 
downstream to game land boundary, excluding 
Camp Creek and Neals Big Lost Cove Creek) 
(5) Delayed Harvest Trout Waters. Those portions of 
designated Hatchery Supported Trout Waters as 
listed in this Subparagraph, excluding tributaries 
except as noted, are further classified as Delayed 
Harvest Waters. Between 1 October and one-half 
hour after sunset on the Friday before the first 
Saturday of the following June, inclusive, it is 
unlawful to possess natural bait and only artificial 
lures with one single hook may be used. No fish 
may be harvested or be in possession while fishing 
these streams during this time. These waters are 
closed to fishing between one-half hour after 
sunset on the Friday before the first Saturday in 
June and 6:00 a.m. on the first Saturday in June. 
At 6:00 a.m. on the first Saturday in June these 
streams open for fishing under Hatchery Supported 
Waters regulations: 

(A) Ashe County: 
Trout Lake 

(B) Burke County: 

Jacob Fork (Shinny Creek to lower South 
Mountains State Park boundary) 

(C) Haywood County: 

Richland Creek (Russ Avenue bridge to US 
19A-23 bridge) 

(D) Henderson County: 

North Fork Mills River (game land portion 
below the Hendersonville watershed dam) 

(E) Jackson County: 

Tuckasegee River (NC 107 bridge at Love 
Field Downstream to NC 116 bridge at 
Webster) 

(F) Macon County: 

Nantahala River (portion from Whiteoak Creek 
to the Nantahala Power and Light power house 
discharge canal) 

(G) Surry County: 

Ararat River (SR 1727 downstream to Business 
US 52 bridge) 
(H) Watauga County: 

Watauga River (SR 1559 bridge at Foscoe 
downstream to NC 105 bridge) 
(1) Wilkes County: 

East Prong Roaring River (from Bullhead 
Creek downstream to the Stone Mountain State 
Park lower boundary) 



Stone Mountain Creek (from falls at Allegheny 

County line to confluence with East Prong 

Roaring River and Bullhead Creek in Stone 

Mountain State Park) 

(6) Wild Trout/Natural Bait Waters. Those portions 

of designated Wild Trout Waters as listed in this 

Subparagraph, including tributaries except as 

noted, are further classified as Wild Trout/Natural 

Bait Waters. All artificial lures and natural baits, 

except live fish, are allowed provided they are 

fished using only one single hook. The creel limit, 

size limit, and open season are the same as other 

Wild Trout Waters [see 15A NCAC 10C 

.0305(a)]. 

(A) Cherokee County: 

Tellico River (Fain Ford to Tennessee state line 
excluding tributaries) 

(B) Clay County: 

Buck Creek (game land portion downstream of 
US 64 bridge) 

(C) Graham County: 
Deep Creek 

Long Creek (game land portion) 

(D) Jackson County: 

Chattooga River (SR 1100 bridge to South 
Carolina state line) 

(lower) Fowler Creek (game land portion) 
Scotsman Creek (game land portion) 

(E) Macon County: 

Chattooga River (SR 1100 bridge to South 

Carolina state line) 

Jarrett Creek (game land portion) 

Kimsey Creek 

Overflow Creek (game land portion) 

Park Creek 

Tellico Creek (game land portion) 

Turtle Pond Creek (game land portion) 

(F) Transylvania County: 

North Fork French Broad River (game land 
portions downstream of SR 1326) 
(b) Fishing in Trout Waters 

(1) Hatchery Supported Trout Waters. It is unlawful 
to take fish of any kind by any manner whatsoever 
from designated public mountain trout waters 
during the closed seasons for trout fishing. The 
seasons, size limits, creel limits and possession 
limits apply in all waters, whether designated or 
not, as public mountain trout waters. Except in 
power reservoirs and city water supply reservoirs 
so designated, it is unlawful to fish in designated 
public mountain trout waters with more than one 
line. Night fishing is not allowed in most hatchery 
supported trout waters on game lands [see 15A 
NCAC 10D .0004(b)(1)]. 

(2) Wild Trout Waters. Except as otherwise provided 
in Subparagraphs (3), (4), and (6) of Paragraph (a) 
of this Rule, the following rules apply to fishing in 



1489 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



APPROVED RULES 



wild trout waters. 

(A) Open Season. There is a year round open 
season for the licensed taking of trout. 

(B) Creel Limit. The daily creel limit is four 
trout. 

(C) Size Limit. The minimum size limit is 
seven inches. 

(D) Manner of Taking. Only artificial lures 
having only one single hook may be used. 
No person shall possess natural bait while 
fishing wild trout waters except those waters 



listed in 15A NCAC IOC .0205(a)(6). 
(E) Night Fishing. Fishing on wild trout waters 
is not allowed between one-half hour after 
sunset and one-half hour before sunrise. 

History Note: Authority G.S. 113-134; 113-272; 113-292; 
Eff. February 1, 1976; 

Amended Eff. July. L 1997: July 1, 1996; July 1, 1995; July 
1, 1994; July 1, 1993. 



SECTION .0300 - GAME FISH 

.0305 OPEN SEASONS: CREEL AND SIZE LIMITS 

(a) Generally. Subject to the exceptions listed in Paragraph (b) of this Rule, the open seasons and creel and size limits are 
as indicated in the following table: 



GAME FISHES 


DAILY CREEL 
LIMITS 


MINIMUM 
SIZE LIMITS 


OPEN SEASON 


Mountain Trout: 
Wild Trout 
Waters 


4 


7 in. 


ALL YEAR 

(exc. 2) 


Hatchery Sup- 
ported Trout 
Waters and 
undesignated 
waters 


7 


None 


All year, except 
March 1 to 6:00 a.m. 
on first Saturday 
in April 
(exc. 2) 


Muskellunge and 
Tiger Musky 


2 


30 in. 


ALL YEAR 


Chain Pickerel 

(Jack) 


None 


None 


ALL YEAR 


Walleye 


8 

(exes. 8 & 9) 


None 


ALL YEAR 

(exc. 8) 


Sauger 


8 


15 in. 


ALL YEAR 


Black Bass: 
Largemouth 


5 
(exc. 9) 


14 in. 
(exes. 3, 7 & 10) 


ALL YEAR 

(exc. 18) 


Smallmouth 
and Spotted 


5 
(exc. 9) 


12 in. 
(exes. 3, 7 & 10) 


ALL YEAR 


White Bass 


25 


None 


ALL YEAR 


Sea Trout (Spotted 
or Speckled) 


10 


12 in. 


ALL YEAR 


Flounder 


None 


13 in. 


ALL YEAR 


Red drum (channel 


5 


18 in. 


ALL YEAR 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1490 



APPROVED RULES 



bass, red fish. 








puppy drum) 








Striped Bass 


8 aggregate 


16 in. 


ALL YEAR 


and their hybrids 


(exes. 1 & 5) 


(exes. 1, 5& 11) 


(exes. 5, 13, & 15) 


(Morone Hybrids) 








Shad: (American 


None 


None 


ALL YEAR 


and hickory) 






(exc. 19) 


Kokanee Salmon 


7 


None 


ALL YEAR 


Pan fishes 


None 


None 


ALL YEAR 




(exes. 4, 12, & 16) 


(exc. 12) 


(exc. 4) 


NONGAME FISHES 


None 


None 


ALL YEAR 




(exc. 14) 


(exc. 14) 


(exes. 6 & 17) 



(b) Exceptions 



(1) 



(2) 



(3) 

(4, 

(5) 



(6) 

(7, 



(8) 

(9) 
(10) 



(ID 



In the Dan River upstream from its confluence with Bannister River to the Brantly Steam Plant Dam, and in John 

H. Kerr, Gaston, and Roanoke Rapids Reservoirs, and Lake Norman, the creel limit on striped bass and Morone 

hybrids is four in the aggregate and the minimum size limit is 20 inches. 

In designated public mountain trout waters the season for taking all species of fish is the same as the trout fishing 

season. There is no closed season on taking trout from Nantahala River and all tributaries (excluding impoundments) 

upstream from Nantahala Lake, and the impounded waters of power reservoirs and municipally-owned water supply 

reservoirs open to the public for fishing. 

Bass taken from Calderwood Reservoir may be retained without restriction as to size limit. 

On Mattamuskeet Lake, special federal regulations apply. 

In the inland fishing waters of Cape Fear, Neuse, Pee-Dee, Pungo and Tar-Pamlico rivers and their tributaries and 

the Roanoke River and its tributaries, including the Cashie, Middle, and Eastmost rivers, extending upstream to the 

first impoundment, the daily creel limi t for striped bass and their hybrids is three fish and the minimum length limit 

is 18 inches. In the Roanoke River and its tributaries, including the Cashie, Middle, and Eastmost rivers-from April 

1 to May 3 1 no fish between the lengths of 22 inches and 27 inches may shall be retained. 

See 15A NCAC IOC .0407 for open seasons for taking nongame fishes by special devices. 

The maximum combined number of black bass of all species that may be retained per day is five fish, no more than 

two of which may be smaller than the applicable minimum size limit. The minimum size limit for all species of 

black bass is 14 inches, with no exception in Lake Luke Marion in Moore County, in Reedy Creek Park lakes in 

Mecklenburg County, in Lake Rim in Cumberland County, in Currituck Sound and tributaries north of Wright 

Memorial Bridge, in North River and tributaries in Currituck and Camden Counties north of a line between Camden 

Point and the end of SR 1124, in High Rock Lake downstream of 1-85, in Badin Lake, in Falls Lake, in Lake 

Tillery, in Blewett Falls Lake, and in the New River and its tributaries in Onslow County. In and west of Madison, 

Buncombe. Henderson and Polk Counties and in designated public mountain trout waters the mini mum size limit 

is 12 inches. In B. Everett Jordan Reservoir a minimum size limit of 16 inches, with no exception, applies to 

largemouth bass. In Falls of Neuse Reservoir, east of SR 1004, and Tuckertown Lake no black bass between the 

lengths of 12 inches and 16 inches may be retained, and the minimum size limit for black bass is 16 inches, except 

that the daily creel may contain two black bass of less than 12 inches in length. In W. Kerr Scott Reservoir there 

is no mini mum size limit for spotted bass. 

A minimum size limit of 15 inches applies to walleye taken from Lake James and its tributaries, and the daily creel 

limit for walleye is four fish in Linville River upstream from the NC 126 bridge above Lake James. 

The creel limit for black bass and walleye taken from Calderwood Reservoir is 10. 

The minimum size limit for all black bass, with no exception, is 18 inches in the following trophy bass lakes: 

(A) Cane Creek Lake in Union County; 

(B) Lake Thom-A-Lex in Davidson County; and 

(C) Sutton Lake in New Hanover County. 

In all impounded inland waters and their tributaries, except those waters described in Exceptions (1), the daily creel 
limit of striped bass and their hybrids may include not more than two fish of smaller size than the minimum size 
limit. 



1491 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



APPROVED RULES 



(12) In Lake Tillery, Falls Lake, High Rock Lake, Badin Lake, Tuckertown Lake, Lake Hyco, Lake Ramseur and Cane 
Creek Lake a daily creel limit of 20 fish and a minimum size limit of 8 inches apply to crappie. 

(13) In designated inland fishing waters of Roanoke Sound, Croatan Sound, Albemarle Sound, Chowan River, Currituck 
Sound, Alligator River, Scuppernong River, and their tributaries (excluding the Roanoke River and Cashie River 
and their tributaries), striped bass fishing season, size limits and creel limits shall be the same as those established 
by duly adopted rules or proclamations of the Marine Fisheries Commission in adjacent joint or coastal fishing 
waters. 

(14) The daily creel and length limits for channel, white, and blue catfish in designated urban lakes are provided for in 
15A NCAC IOC .0401(d). 

(15) The Executive Director may, by proclamation, suspend or extend the hook-and-line season for striped bass in the 
inland and joint waters of coastal rivers and their tributaries. It is unlawful to violate the provisions of any 
proclamation issued under this authority. 

(16) In the entire Lumber River from the Camp MacKall bridge (SR 1225, at the point where Richmond, Moore, 
Scotland, and Hoke counties join) to the South Carolina state line and in all public fishing waters east of 1-95, except 
Tar River Reservoir in Nash County, the daily creel limit for sunfish is 30 in aggregate, no more than 12 of which 
may shall be redbreast sunfish. 

(17) It is unlawful to possess bowfin taken from the Lumber River and its tributaries. 

(18) In Sutton Lake, no largemouth bass may be retained from December 1 through March 31. 

(19) In the Pee Dee River downstream from the Blewett Falls dam, shad may be taken with special fishing devices as 
provided for in 15A NCAC IOC .0404 (b) during the permitted special fishing device seasons specified in 15A 
NCAC 10C .0407. 

History Note: Filed as a Temporary Amendment Eff. December 1 , 1994 for a period of 180 days or until the permanent rule 

becomes effective, whichever is sooner; 

Filed as a Temporary Amendment Eff. May 1, 1991, for a period of 180 days to expire on November 1, 1991; 

Filed as a Temporary Amendment Eff. May 22, 1990, for a period of 168 days to expire on November 1, 1990; 

Filed as a Temporary Amendment Eff. May 10, 1990, for a period of 180 days to expire on November 1, 1990; 

Authority G.S. 113-134; 113-292; 113-304; 113-305; 

Eff. February 1, 1976; 

Amended Eff. July. L 1997: July 1, 1996; July 1, 1995; July 1, 1994; July 1, 1993; October 1, 1992. 



SUBCHAPTER 10D - GAME LANDS REGULATIONS 

.0003 HUNTING ON GAME LANDS 

(a) Safety Requirements. No person while hunting on any 
designated game land shall be under the influence of alcohol 
or any narcotic drug, or fail to comply with special 
restrictions enacted by the National Park Service regarding 
the use of the Blue Ridge Parkway where it adjoins game 
lands listed in this Rule. 

(b) Traffic Requirements. No person shall park a vehicle 
on game lands in such a manner as to block traffic, gates or 
otherwise prevent vehicles from using any roadway. 

(c) Tree Stands. It is unlawful to erect or to occupy, for 
the purpose of hunting, any tree stand or platform attached 
by nails, screws, bolts or wire to a tree on any game land 
designated herein. This prohibition shall not apply to 
lag-screw steps or portable stands that are removed after use 
with no metal left remaining in or attached to the tree. 

(d) Time and Manner of Taking. Except where closed to 
hunting or limited to specific dates by this Chapter, hunting 
on game lands is permitted during the open season for the 
game or furbearing species being hunted. On managed 
waterfowl impoundments, hunters shall not enter the posted 
impoundment areas earlier than 4:00 a.m. on the permitted 
hunting dates, and hunting is prohibited after 1:00 p.m. on 
such hunting dates; decoys may not be set out prior to 4:00 



a.m. and must be removed by 3:00 p.m. each day. No 
person shall operate any vessel or vehicle powered by an 
internal combustion engine on a managed waterfowl 
impoundment. No person shall attempt to obscure the sex or 
age of any bird or animal taken by severing the head or any 
other part thereof, or possess any bird or animal which has 
been so mutilated. No person shall place, or cause to be 
placed on any game land, salt, grain, fruit, or other foods 
without prior written authorization of the commission or its 
agent. A decision to grant or deny authorization shall be 
made based on the best management practices for the wildlife 
species in question. No person shall take or attempt to take 
any game birds or game animals attracted to such foods. No 
live wild animals or wild birds shall be removed from any 
game land. 

(e) Definitions: 
(1) For purposes of this Section "Eastern" season 
refers to seasons set for those counties or parts of 
counties listed in 15A NCAC 10B .0203(h)(1)(A); 
"Central" season refers to seasons set for those 
counties or parts of counties listed in 15A NCAC 
10B .0203(b)(1)(D); "Northwestern" season refers 
to seasons set for those counties or parts of 
counties listed in 15A NCAC 10B .0203(b)(1)(B); 
"Western" season refers to seasons set for those 
counties or parts of counties listed in 15 A NCAC 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1492 



APPROVED RULES 



10B .0203(b)(1)(C). 

(2) For purposes of this Section, "Dove Only Area" 
refers to a Game Land on which doves may be 
taken and dove hunting is limited to Mondays, 
Wednesdays, Saturdays and to Thanksgiving, 
Christmas and New Year's Days within the 
federally-announced season. 

(3) For purposes of this Section, "Three Days per (2) 
Week Area" refers to a Game Land on which any 

game may be taken during the open seasons and 
hunting is limited to Mondays, Wednesdays, 
Saturdays and Thanksgiving, Christmas and New 
Year's Days. These open days also apply to 
either-sex hunting seasons listed under each game 
land. Raccoon and opossum hunting may continue 
until 7:00 a.m. on Tuesdays, until 7:00 a.m. on (3) 

Thursdays, and until midnight on Saturdays. 

(4) For purposes of this Section, "Six Days per Week 
Area" refers to a Game Land on which Arty any 
game may be taken on the following gam e lauds 
during the open season, seasons, except that: 

(A) Bears may shall not be taken on lands 
designated and posted as bear sanctuaries; 

(B) Wild boar may not be taken with the use of 

dogs on such bear sanctuaries, and wild (4) 

boar may be hunted only during the bow 
and arrow seasons, the muzzle-loading deer 
season and the regular gun season on male 
deer on bear sanctuaries; 

(C) On game lands open to deer hunting located 
in or west of the counties of Rockingham, 
Guilford, Randolph, Montgomery and 
Anson, the following rules apply to the use 
of dogs during the regular season for 
hunting deer with guns: (5) 

(i) Except for the counties of Cherokee, 
Clay, Graham, Jackson, Macon, 
Madison, Polk, and Swain, game 
birds may shall be hunted with dogs. 

(ii) In the counties of Cherokee, Clay, 
Graham, Jackson, Macon, Madison. 
Polk, and Swain, small game in (6) 

season may shall be hunted with dogs 
on all game lands except on bear 
sanctuaries. 

(D) On bear sanctuaries in and west of Madison, 
Buncombe, Henderson and Polk counties 
dogs may shall not be trained or allowed to 

run unleashed between March 1 and the (7) 

Monday on or nearest October 15; 
(f) Game Lands Seasons and Other Restrictions: 
(1) Alcoa Game Land in Davidson, Davie, 
Montgomery, Rowan and Stanly counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deei 1 of 



eithei s e x may be taken fiom the Fust 
W e dnesday aftei Thanksgiving tluuugh th e 
t hird Sa t uiday after Thanksgiving e xcept 
t ha t pait in Davi e Coun t y whei e the season 
is th e semud W e dnesday aftei Thanksgiving 

through the third Sa t uiday after 

Thanksgiving, 

Angola Bay Game Land in Duplin and Pender 

counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken all the open 
days of the applicable Deer With Visible 
Antlers Season, fiom the Wedn e sday of th e 
we e k — following — Thanksgiving — tlnough 
Januaiy 1. 

Anson Game Land in Anson County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the First six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deei uf 
e ith e i — sex — may — be — t aken — fiom — the 
W e dn e sday — of — the — week — following 
Thanksgiving tlnough the Satuiday of th e 
next sucieeding week. 

Bachlelor Bay Game Land in Bertie and 
Washington counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the First six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deei of 
eithei — sex — rrray — be — tak e n — from — the 



-sex 
W e dnesday 



may 
-of — tne- 



week following 

Thanksgiving tlnough th e Sa t urday of the 
n e xt smieeding week. 
Bertie County Game Land in Bertie County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken all the open 
days of the applicable Deer With Visible 
Antlers Season. Deei of ei t h e r s e x may b e 
tak e n fiom th e Wednesday of th e week 
following Thanksgiving tlnough Jauiiai v 1. 

Bladen County Game Land in Bladen County 

(A) Six Three Days per Week Area 

(B) Deer of either sex may be taken all the open 
days of the applicable Deer With Visible 
Antlers Season. Deei of e ith e i s e x may be 
taken fioin th e Weduesday of the week 
folluwing Thanksgiving tlnough Januaiy 1. 

Bladen Lakes State Forest Game Land in Bladen 
County 

(A) Three Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deei of 
e ith e i — sex — may be — tak e n — from — the 

Wednesday of — the week following 

Thanksgiving tlnough th e Sa t urday of t h e 



1493 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



APPROVED RULES 



n e xt succeeding wnk. Deer of either sex 
may also be taken the Saturday preceding (12) 

Eastern bow season with bow and arrow and 
the Friday preceding the Eastern muzzle- 
loading season with any legal weapon (with 
weapons exceptions described in this 
Paragraph) by participants in the Disabled 
Sportsman Program. 

(C) Handguns may shall not be carried and, 
except for muzzle-loaders, rifles larger than 
.22 caliber rimfire may shall not be used or 
possessed. 

(D) On the Breece Tract and the Singletary 
Tract deer and bear may be taken only by 
still hunting. 

(E) Wild turkey hunting is by permit only. 

(8) Brushy Mountains Game Land in Caldwell County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken ihs last six 
open days of the applicable Deer With 
Visible Antlers Season, fium the thiid 

Fiiday aftei Thanksgi v ing thiuugh the thiid (13) 

Satmday aft e i Thanksgiving. 

(9) Bullard and Branch Hunting Preserve Game Lands (14) 
in Robeson County 

(A) Three Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. Deei uf e ithei sex 
may be tak e n fium the Wednesday uf the 
week following Thanksgiving thiuugh th e 
Satmday uf the n e xt succeeding week. 

(10) Butner - Falls of Neuse Game Land in Durham, 
Granville and Wake counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. Deei uf eithei sex 
m ay be taken fium t he fust Wedn e sday aft e r 

Thanksgiving tluuugh the following 

Sa t urday. (15) 

(C) Waterfowl may be taken only on Tuesdays, 
Thursdays and Saturdays, Christmas and 
New Year's Days, and on the opening and 
closing days of the applicable waterfowl 
seasons. On the posted waterfowl 
impoundments a special permit is required 
for all waterfowl hunting. 

(D) Horseback riding, including all equine 
species, is prohibited. (16) 

(E) Target shooting is prohibited 

(11) Carson Woods Game Land in Ashe County 

(A) Three Days per Week Area 

(B) Deer of either sex may be taken the last 
open day of the applicable Deer With 
Visible Antlers Season, from th e secuud 
W e dnesday after Thanksgiving thiuugh the 



third Sa t mday aftei Thanksgiving. 
Caswell Game Land in Caswell County 

(A) Three Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. Deer of eith e i s e x 
may b e tak e n fium the W e dnesday uf the 
week follow ing Thanksgiving thiuugh th e 
Sa t urday uf the next succeeding week. Deer 
of either sex may also be taken the Friday 
preceding the Central muzzle-loading season 
by participants in the Disabled Sportsman 
Program. 

(C) Horseback riding is allowed only during 
June, July, and August and on Sundays 
during the remainder of the year except 
during open turkey and deer seasons. 
Horseback riding is allowed only on roads 
opened to vehicular traffic. Participants 
must obtain a game lands license prior to 
engaging in such activity. 

Caswell Farm Game Land in Lenoir County 

(A) Dove-Only Area 

Catawba Game Land in Catawba and Iredell 

counties 

(A) Three Days per Week Area 

(B) Deer of either sex may be taken the last 
open day of the applicable Deer With 
Visible Antlers Season. D e ei uf eithei sex 
may be taken fium the s e cuud W e dn e sday 
after — Thanksgiving — thiuugh — the — third 
Sa t mday aftei Thanksgiving in that purtiun 
in Iiedell Cuunty and the third Friday aft e r 
Thanksgiving thiuugh the thiid Satmday 
after — Thanksgiving — in — that — puitiun — in 
Catawba Coun t y. 

(C) No d ee r may be tak e n from t he tiact kuuwn 
as Island Point and deer Deer may be taken 
with bow and arrow only from the tract 
known as Molly's Backbone. 

Chatham Game Land in Chatham County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deei of 
eith e i — sex — may — be — taken — from — tire 
Wedn e sday — of — the — wrek — following 
Thanksgiving through th e Sa t mday uf the 
n e xt succeeding w e ek. 

Cherokee Game Land in Ashe County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the a pplicable Deer With 
Visible Antlers Season. Deei uf e ithei sex 
may be taken fium the second Wedn e sday 
after — Thanksgiving — thiuugh — tire — thiid 
Sa t urday a ft er Thanksgiving. 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1494 



APPROVED RULES 



(17) 



(18) 



(19) 



OQ) 



121} 



122J 



Cherry Farm Game Land in Wayne County 

(A) Three Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. Deei of eithei s e x 
may b e t aken fiuni the Wedn e sday of t he 
week following Thanksgi v ing tlnuugh the 
Saluiday of the n e xt succeeding week. 

(C) The use of centerfire rifles and handguns is 
prohibited. 

Chowan Game Land in Chowan County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken all the open 
days of the applicable Deer With Visible 
Antlers Season. Deei ' of e ithei sex may be 
tak e n fiom the Wedn e sday of th e week 

fulluwiiig — Thanksgiving tlnuugh the 

Satuiday of the next suii e cdiug week. 

Chowan Swamp Game Land in Gates County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken all the open 
days of the applicable Deer With Visible 
Antlers Season. Deei of e ith e i s e x may b e 
taken fiuin the Wedn e sday of the week 
fulluwiiig Thanksgiving tlnuugh January 1. 

Columbus County Game Land in Columbus 

County. 

(A) Six Days per Week Area 

£BJ Deer of either sex may be taken all the open 

days of the applicable Deer With Visible 

Antlers Season. 
(26) Croatan Game Land in Carteret. Craven and 
Jones counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deei uf 
either — sex — may — be — taken — from — the 

Wedn e sday of — the week following 

Thanksgiving tlnuugh t he Sa t uiday of t h e 
n e xt succ e eding week. 

(C) Waterfowl may be taken only on Mondays, 
Wednesdays, Saturdays; on Thanksgiving, 
Christmas and New Year's Days; and on the 
opening and closing days of the applicable 
waterfowl seasons. 

(D) Bear season extends from the second 
Monday in November through the following 
Saturday in that portion in Jones and Craven 
counties and runs with the county season in 
Carteret. 

(2t) Dare Game Land in Dare County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. Deei uf e ithei s e x 
may — be t ak e n from W e dnesday tlnuugh 



£23J 



(24) 



Sa t uiday of the w e ek following 

(C) No hunting on posted parts of bombing 
range. 

(D) The use and training of dogs is prohibited 
from March 1 through June 30. 

(22) Dysartsville Game Land in McDowell and 
Rutherford counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be. taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. Deei uf eithei s e x 
may be t ak e n fiuin th e second Wedn e sday 
after — Thanksgiving — through — the — third 
Sa t urday aft e i Thanksgiving in that puitiuii 
in Ruth e ifurd Coun t y and fiom the thiid 
Friday aft e r Thanksgiving through th e thiid 
Sa t urday af t er Thanksgi v ing in tha t puitiuii 
in McDuwell Coun t y. 

(23) Elk Knob Game Land in Ashe and Watauga 
counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the. applicable Deer With 
Visible Antlers Season. Deei uf eithei -sex 
may b e taken the s e cond Wednesday aftei 
Thanksgiving tlnuugh th e thiid Satuiday 
af t ei Thanksgiving in that por t ion in Ash e 
Cuuu t y — and — the — t hir d — Friday — aft e r 
Thanksgiving tlnuugh t he third Sa t uiday in 
t ha t portion in Watauga Cuuuty . 

(25) (24) Gardner-Webb Game Land in Cleveland 

County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. Deei uf e ithei ' s e x 
may b e taken from th e secund Wednesday 
aftei — Thanksgiving — tin uugh — the — thiid 
Satuiday a f ter Thanksgiving. 

(26) (25) Goose Creek Game Land in Beaufort and 

Pamlico counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deer of 
e ithei sex may b e taken fiom th e fus t 
W e dn e sday a ft er Thanksgiving through the 
fulluwiiig Satuiday. 

(C) On posted waterfowl impoundments 
waterfowl may be taken only on Mondays, 
Wednesdays, Saturdays; on Thanksgiving, 
Christmas and New Year's Days; and on the 
opening and closing days of the applicable 
waterfowl seasons. After November 1, on 
the Pamlico Point, Campbell Creek, and 
Spring Creek impoundments, a special 



1495 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



APPROVED RULES 



permit is required for hunting on opening 
and closing days of the duck seasons, 
Saturdays of the duck seasons, and on 
Thanksgiving and New Year's day. 
(271 (26) Green River Game Land in Henderson, Polk 
and Rutherford counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season D e ei of e ith e r sex 
may be taken fium the second Wednesday 
aftei — Thanksgiving — tin u ugh — the — third 
Satuiday aftei Thanksgiving in that portion 
in Rutherford County; and deer of either sex 
may be taken the last open day of the 
applicable Deer With Visible Antlers Season 
fium the thiid Fiiday after Thanksgiving 

tlnuugh the third Satuiday aft e i ' 

Thanksgiving in that portion in Polk and 
Henderson counties. Cuunty, and on the 
second Sa t uiday in D e cemb e r hi that pui tiun 
hi Hend e isuu Coun t y. 

(28) (2?) Green Swamp Game Land in Brunswick 
County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken all the open 
days of the applicable Deer With Visible 
Antlers Season. Deei of eithei sex may be 
taken fioin the Wednesday of the week 
following Thanksgiving thiough Januaiy 1. 

(28) Guilford County Farm Gam e Laud in Guilford 

County 

(A) Dove-Only Area 

(29) Gull Rock Game Land in Hyde County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deei of 
eithei — sex — may — be — taken — from — the 



(31) 



(30) 



s e x 
Wedn e sday 



may 
-of — the- 



week — following 
Thanksgiving thiough the Satuiday of th e 
nex t succeeding week. 

(C) On the posted waterfowl impoundments of 
Gull Rock Game Land hunting of any 
species of wildlife is limited to Mondays, 
Wednesdays, Saturdays; Thanksgiving, 
Christmas, and New Year's Days; and the 
opening and closing days of the applicable 
waterfowl seasons. 

Hofmann Forest Game Land in Jones and Onslow 

counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deei of 
either — s e x may be taken fioin t he firs t 
Wednesday following Thanksgiving thiough 



(32) 



£33) 



£34} 



£35} 



t h e following Sa t urday. 
Holly Shelter Game Land in Pender County 

(A) Three Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. Deei of eithei sex 
may be taken fiom th e Wednesday uf th e 
week following Thanksgiviug through th e 
fouith Sa t uiday af t er Thanksgiving. Deer of 
either sex may also be taken the Friday 
preceding the Eastern muzzle-loading season 
with any legal weapon and the Saturday 
preceding Eastern bow season with bow and 
arrow by participants in the Disabled 
Sportsman Program 

(C) Waterfowl may be taken on the opening and 
closing days of the applicable waterfowl 
seasons regardless of the day of the week on 
which they occur. 

Huntsville Community Farms Game Land in 
Yadkin County 

(A) Three Days per Week Area 

(B) Deer of either sex may be taken the last 
open day of the applicable Deer With 
Visible Antlers Season. Deei of e ith e i sex 
may be taken fium t h e second Wedn e sday 
after — Thanksgiving — through — the — third 
Sa t uiday a ft er Thanksgiving. 

Hyco Game land in Person and Caswell counties 

(A) Six Days per Week Area 

£B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. 

(39) Jordan Game Land in Chatham, Durham, 

Orange and Wake counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deer of 
ertfaei — sex — may — be — tak e n — from — the 



sex 
Wedn e sday 



may 
-of — tfae- 



week — following 
Thanksgiving thiough the Sa t uiday of t h e 
next succeeding week. 

(C) Waterfowl may be taken only on Mondays, 
Wednesdays, Saturdays; on Thanksgiving, 
Christmas and New Year's Days; and on the 
opening and closing days of the applicable 
waterfowl seasons. 

(D) Horseback riding, including all equine 
species, is prohibited. 

(E) Target shooting is prohibited. 

(34) Lantern Acres Game Land in Tyrrell and 
Washington counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. Deei of ei t h e r sex 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1496 



APPROVED RULES 



06} 



on 



(38 



(39) 



may be tak e n fium W e dn e sday tlnuugh 

Saturday of tbe week fulluwiug 

Thanksgiving hi that puitiuu in Tyrr e ll 
Cuuu t y — and — W e dn e sday — of — the — week 

fulluwhig — Thanksgiving thjuugh tbe 

Satuiday of th e next succe e ding week in that 
[juitiuu in Washington Coun t y. 
(35) Lee Game Land in Lee County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. D e ei uf 
either — sex — mar — be — t ak e n — from — the 



sex 
W e dnesday 



may 
-of — the- 



w e ek fulluwiug 

Thanksgiving tlnuugh th e Sa t uiday of t he 
n e xt succeeding wick. 
(36) Linwood Game Land in Davidson County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deei o f 
e ith e i — sex — may — be — taken — from — the 



sex 

Wednesday 



may 

uf the 



week — fulluwiug 
Thanksgiving tlnuugh the Satuiday uf th e 
next sunn-ding wti^k. 
(3?) Moore Game Land in Moore County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. D e ei of 
eithei — sex — may — be — t ak e n — from — the 



sex 
W e dnesday 



may 
-of — the- 



week follow nig 

Thanksgiving tlnuugh th e Sa t urday of t he 
n e xt succeeding wet.k. 
(3&) Nantahala Game Land in Cherokee, Clay, 
Graham, Jackson, Macon. Swain and 

Transylvania counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last 
open day of the applicable Deer With 
Visible Antlers Season Deei uf e ith e i -sex 
may — be tak e n — the — second — Sa t ui day — in 
D e c e mb e r in that portion located in 
Transylvania County. 

(C) Raccoon and opossum may be hunted only 
from sunset Friday until sunrise on Saturday 
and from sunset until 12:00 midnight on 
Saturday on Fires Creek Bear Sanctuary in 
Clay County and in that part of Cherokee 
County north of US 64 and NC 294, east of 
Persimmon Creek and Hiwassee Lake, south 
of Hiwassee Lake and west of Nottely 
River; in the same part of Cherokee County 
dog training is prohibited from March 1 to 
the Monday on or nearest October 15. 

(D) It is unlawful to train dogs or allow dogs to 
run unleashed on any game land in Graham 



(40) 



(41) 



£42} 



County between March 1 and the Monday 
on or nearest October 15. 
(39) Neuse River Game Land in Craven County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deei uf 
eithei — sex — may — be — tak e n — from — the 



s e x 
Wednesday 



may 
-of— 



the week fulluwhig 

Thanksgiving tlnuugh th e Sa t uiday uf the 
next succeeding week. 
(46) New Lake Game Land in Hyde County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. D e ei uf 
e ith e i — sex — may — be — taken — from — the 



s e x 
Wedn e sday 



may 
-of— 



the — week — following 



Thanksgiving through the Satuiday uf th e 
nex t succeeding w e ek. 
(4f) North River Game Land in Currituck County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deei uf 
e ithei — sex — may — be — tak e n — from — the 



sex 

Wedrresday- 



may 
-of— 



the week fulluwhig 



Thanksgiving tlnuugh th e Sa t uiday of t he 
n e xt succeeding week. 

(43) (42) Northeast Cape Fear Game Land in Pender 
County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken all the open 
days of the applicable Deer With Visible 
Antlers Season. D e ei uf eith e i s e x may b e 
tak e n fium th e Wednesday of th e week 
fuliuwing Thanksgiving tlnuugh Jauuaiy 1. 

(44) (49) Northwest River Marsh Game Land in 
Currituck County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deei uf 
e ith e i — sex — may — be — tak e n — from — the 



sex 

Wednesday 



may 
-of— 



the week fuliuwing 

Thanksgiving tlnuugh th e Satuiday uf th e 
n e xt succeeding week. 
(45) (44) Pee Dee River Game Land in Anson, 
Montgomery, Richmond and Stanly counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deei uf 
e ith e i — sex — may — be — tak e n — fium — the 



s e x 
Wednesday- 



may 
-tjf- 



the week fo 



luwing 

Thanksgiving tlnuugh th e Sa t uiday of th e 
n e xt succeeding week. 



1497 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



APPROVED RULES 



£46} 



(C) Use of centerfire rifles prohibited in that 
portion in Anson and Richmond counties 
North of US-74. 

(45) Person Game Land in Person County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the a pplicable 
Deer With Visible Antlers Season. Deei 1 of 
eitbei — sex — may — be — tak e n — from — the 



sex 
Wednesday 



may 
-of— 



£47} 



£48} 



the — week — following 
Thanksgiving thiuugh t h e Satuiday uf the 
n e xt succeeding week. 
(C) Waterfowl may be taken only on Tuesdays, 
Thursdays and Saturdays, Christmas and 
New Year's Days, and on the opening and 
closing days of the applicable waterfowl 
seasons. 
(46) Pisgah Game Land in Avery, Buncombe, 
Burke, Caldwell, Haywood, Henderson, Madison, 
McDowell, Mitchell, Transylvania, Watauga and 
Yancey counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last 
open day of the applicable Deer With 
Visible Antlers Season except on that 
portion of Avery County north of the Blue 
Ridg e Parkway. Deei uf e ithei sex may be 
taken — from — the — third — Friday — after 
Thanksgiving t hiuugh the thiid Satuiday 
aftei Thanksgiving in that puitiun in Buik e , 
Caldw e ll, McDuwell and Watauga counties 
and uii the second Sa t urday in D e c e mber in 
that puitiun in Aveiy (that part suuth uf th e 

Brae Ridge Paikway), Buucuinbe, 

Haywood, H e nderson, Madisou, Mitchell, 
Tiansylvania and Yanc e y counties. 

(C) Harmon Den and Sherwood Bear 
Sanctuaries in Haywood County are closed 
to hunting raccoon, opossum and wildcat. 
Training raccoon and opossum dogs is 
prohibited from March 1 to the Monday on 
or nearest October 15 in that part of 
Madison County north of the French Broad 
River, south of US 25-70 and west of SR 
1319. 

(4?) Pungo River Game Land in Hyde County 

(A) Six Days per Week Area 

Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deei of 
erthn — sex — may — be — taken — from — the 



(B) 



s e x 
Wednesday 



may 
-of — the- 



£49} 



week — following 
Thanksgiving through the Sa t urday of th e 
next succeeding week. 

(48) Roanoke River Wetlands in Bertie, Halifax 

and Martin counties 

(A) Hunting is by Permit only. Vehicles are 



prohibited on roads or trails except those 
operated on official Commission business or 
by permit holders. 
(50") (49) Robeson Game Land in Robeson County 

(A) Three Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. Deei uf either-sex 
may be taken fiuin the Wednesday of the 
week following Thanksgiving thiuugh the 
Satuiday uf the next succeeding week. 

(51) (50) Sampson Game Land in Sampson County 

(A) Three Days per Week Area 

(B) Deer of either sex may be taken all the open 
days of the applicable Deer With Visible 
Antlers Season. Deei uf eithei sex may b e 
taken fiuni th e Wednesday of the week 
following Thanksgiving thiuugh January 1. 

(52) (5-r) Sandhills Game Land in Moore, Richmond 
and Scotland counties 

(A) Three Days per Week Area 

(B) The Deer With Visible Antlers i c gulai gun 
season for deer consists of the open hunting 
dates from the second Monday before 
Thanksgiving through the third Saturday 
after Thanksgiving except on the field trial 
grounds where the gun season is from the 
second Monday before Thanksgiving 
through the Saturday following 
Thanksgiving. Deer may be taken with bow 
and arrow on all open hunting dates during 
the bow and arrow season, as well as during 
the regular gun season. Deer may be taken 
with muzzle-loading firearms on Monday, 
Wednesday and Saturday of the second 
week before Thanksgiving week, and during 
the Deer With Visible Antlers regulai gun 
season. 

(C) Gun either-sex deer hunting is by permit 
only the Thursday and Friday before 
Thanksgiving Week. For participants in the 
Disabled Sportsman Program, either-sex 
deer hunting with any legal weapon is 
permitted on all areas the Thursday and 
Friday prior to the muzzle-loading season 
described in the preceding paragraph. 
Except for the deer seasons indicated in the 
preceding paragraph and the managed 
either-sex permit hunts, the field trial 
grounds are closed to all hunting during the 
period October 22 to March 3 1 . 

(D) In addition to the regular hunting days, 
waterfowl may be taken on the opening and 
closing days of the applicable waterfowl 
seasons 

(E) Wild turkey hunting is by permit only. 

(F) Dove hunting on the field trial grounds will 



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1498 



APPROVED RULES 



(53} 



154} 



£55} 



(56} 



(57) 



be prohibited from the second Sunday in 
September through the remainder of the 
hunting season. 

(52) Sauratown Plantation Game Land in Stokes 
County 

(A) Three Days per Week Area 

(B) Deer of either sex may be taken the last 
open day of the applicable Deer With 
Visible Antlers Season. Deer of eith e i sex 
may be tak e n fium the seiund Wedn e sda y 
after — Thanksgiving — through — the — third 
Satuiday aft e r Thanksgiving. 

(53) Shearon Harris Game Land in Chatham and 
Wake counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deei ' of 
eithei — sex — may — be — tak e n — from — the 
Wednesday — of — the — week — following 
Thanksgiving thiuugh the Satuiday uf th e 
next succeeding week. 

(C) Waterfowl may be taken only on Tuesdays. 
Fridays. Mondays, Wednesdays. Saturdays; 
on Thanksgiving, Christmas and New 
Year's Days; and on the opening and 
closing days of the applicable waterfowl 



(54) South Mountains Game Land in Burke and 
Cleveland counties 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. Deei of e ither sex 
may be tak e n from t h e second Wednesday 
after — Thanksgiving — t hrough — the — t hird 
Sa t uiday af t er Thanksgiving in t hat puitiuii 
in Clev e land County and fium th e thiid 
Friday aft e i Thanksgiving t hrough the t hird 
Satuiday af t er Thanksgiving in that puitiun 
in Burke Coun t y. 

(55) Sutton Lake Game Land in New Hanover 
County 

(A) Six Days per Week Area (61) 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. Deer of either se x 
may — b e taken from Wednesday — t hrough 

Sa t urday of the week following 

Thanksgiving. 

(56) Three Top Mountain Game Land in Ashe 
County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last six (62) 
open days of the applicable Deer With 

Visible Antlers Season. D e er of e ith e i s e x 
may be tak e n fium th e second Wedn e sday 



after — Thanksgiving — through — the — third 
Sa t urday aftei Thanksgiving. 

(58) (5?) Thurmond Chatham Game Land in Wilkes 
County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the a pplicable Deer With 
Visible Antlers Season. Deer of e ithei sex 
may b e tak e n from the second Wednesday 
aft e i — Thanksgiving — through — the — thiid 
Sa t urday aft e i Thanksgiving. Participants 
of the Disabled Sportsman Program may 
also take either-sex deer with bow and 
arrow on the Saturday prior to Northwestern 
bow and arrow season. 

(C) Horseback riding is only allowed during 
June, July, and August and on Sundays 
during the remainder of the year except 
during open turkey and deer seasons. 
Horseback riding is allowed only on roads 
opened to vehicular traffic. Participants 
must obtain a game lands license prior to 
horseback riding on this area. 

(59) (59) Toxaway Game Land in Transylvania County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last 
open day of the a pplicable Deer With 
Visible Antlers Season. Deer of eithei sex 
may be taken ou t he second Sa t urday in 
Dec e mb e i . Participants of the Disabled 
Sportsman Program Deer may also take deer 
of either sex with any legal weapon on the 
Saturday prior to the first segment of the 
Western bow and arrow season. 

(60) (59) Uwharrie Game Land in Davidson, 
Montgomery and Randolph counties 



(A) Six Days per Week Area 

(B) Deer of either sex may be taken the first six 
days and the last six days of the applicable 
Deer With Visible Antlers Season. Deer of 
e ith e i — s e x may be tak e n from the fust 
W e dnesday aft e i Thanksgiving through th e 
Satuiday uf t he n e xt succeeding we e k. 

(60) Vance Game Land in Vance County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken all the open 
days of the applicable Deer With Visible 
Antlers Season. Deei of e ith e i s e x may b e 
tak e n from t he Wedn e sday uf th e week 
following Thanksgiving thiuugh January 1. 

(C) The use of dogs, centerfire rifles and 
handguns for hunting deer is prohibited on 
the Nutbush Peninsula tract. 

(6+) White Oak River Impoundment Game Land in 
Onslow County 

(A) Three Days per Week Area 

(B) Deer of either sex may be taken all the open 



1499 



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11:19 



APPROVED RULES 



days of the applicable Deer With Visible 
Antlers Season. Deei of ehfam-sex may be 
taken — from — the — first — Wednesday — after 
Thanksgiving through January 1. 
(C) Waterfowl may be taken on the opening and 
closing days of the applicable waterfowl 
seasons regardless of the day of the week on 
which they occur. 
(63) (62) Yadkin Game Land in Caldwell County 

(A) Six Days per Week Area 

(B) Deer of either sex may be taken the last six 
open days of the applicable Deer With 
Visible Antlers Season. Deei uf uith e i sex 
may be taken fioiu the thiid Friday after 
Thanksgiving through the thiid Satuiday 
aftei Thanksgiving. 

(g) On permitted type hunts deer of either sex may be 
taken on the hunt dates indicated on the permit. Completed 
applications must be received by the Commission not later 
than the first day of September next preceding the dates of 
hunt. Permits are shall be issued by random computer 
selection, are mailed to the permittees prior to the hunt, and 
are nontransferable. A hunter making a kill must tag the deer 
and report the kill to a wildlife cooperator agent. 

(h) The following game lands and refuges are shall be 
closed to all hunting except to those individuals who have 
obtained a valid and current permit from the Wildlife 
Resources Commission: 

Bertie, Halifax and Martin counties— Roanoke River 

Wetlands; 

Bertie County— Roanoke River National Wildlife Refuge. 

Burke County— John's River Waterfowl Refuge 

Dare County— Dare Game Lands (Those parts of bombing 

range posted against hunting) 

Davie— Hunting Creek Swamp Waterfowl Refuge 

Gaston, Lincoln and Mecklenburg counties— Cowan's Ford 

Waterfowl Refuge. 

History Note: Authority G.S. 113-134; 113-264; 

113-291.2; 113-291.5; 113-305. 

Eff. February 1, 1976. 

Amended Eff July L. 1997; July 1, 1996; August 1, 1995; 

July 1, 1995; September 1, 1994. 

CHAPTER 13 - SOLID WASTE MANAGEMENT 

SUBCHAPTER 13C - INACTIVE HAZARDOUS 
SUBSTANCES AND WASTE DISPOSAL SITES 

SECTION .0300 - VOLUNTARY REMEDIAL 

ACTION OVERSIGHT BY REGISTERED 

ENVDIONMENTAL CONSULTANTS 

.0302 GENERAL PROVISIONS 

(a) The rules in this Section are the rules required by G.S. 
130A-3 10. 12(b) to govern the selection and use of private 
environmental consulting and engineering firms to implement 



and oversee voluntary remedial actions by owners, operators. 
or other responsible parties under G.S. 130A-3 10.9(c). 

(b) No provision of the rules in this Section shall be 
construed to relieve any person of the necessity of complying 
with a pplicable federal, state or local laws. 

(c) Any person who violates any provision of this Section. 
or any other requirement in connection with the voluntary 
remedial action program, including making any false 
statement, representation or certification, or. knowingly 
rendering inaccurate any recording or monitoring device or 
method, shall be subject to enforcement including 
disqualification as an REC or RSM. 

(d) A^ party wishing to conduct a voluntary remedial action 
shall enter into a written agreement with the Department 
pursuant to G.S. 130A-3 10.9(c). 

(e) For the purpose of administration and enforcement of 
the voluntary remedial action program and for protection of 
human health or the environment, employees, agents and 
contractors of the Department may enter any site, vessel or 
other location undergoing a voluntary remedial action 
pursuant to this Section, at reasonable times and upon 
reasonable notice, to investigate, sample or inspect any 
documents, conditions, equipment, practice or property. In 
the event that the Department reasonably determines as a 
result of an investigation, sampling or inspection that there 
has been a release or that there exists a. threat of release of a 
hazardous substance, the Department may enter a site, vessel 
or location, and areas proximate thereto, and perform or 
arrange for the performance of such response actions as it 
reasonably deems necessary. 

(f) Remedial Actions conducted pursuant to this Section 
shall be overseen by an REC. All work performed by an 
REC shall be under the supervision and direction of an RSM 
representing the REC. Rule .0306 of this Section specifies 
requirements relating to certifications by RSMs. 

(g) The Department shall have complete discretion to 
effect cleanup itself, or directly oversee a remediating party's 
cleanup, if the Department determines that the site poses an 
imminent hazard, if there is si gnificant public concern, if the 
Department has initiated an enforcement action, if the 
Department is concerned about material misrepresentations 
or environmental non-compliance on the part of a party 
seeking to effect or effecting remedial action at a site 
pursuant to this Section, if hazardous substances have 
migrated to adjoining property, or if other conditions, such 
as the presence of sensitive environments or mixed wastes 
(commingled radioactive and chemical wastes), so warrant. 

(n) The remedial investigation shall be completed within 
three years of the effective date of the a greement to conduct 
a voluntary remedial action. Non-groundwater remedial 
action shall be completed within eight years of the effective 
date of that a greement. Groundwater remedial action shall be 
initiated within two years of completion of the remedial 
investigation. Responsible parties failing to meet these 
deadlines shall be subject to enforcement and loss of 
approved voluntary remedial action status. The affected sites 
shall no long er be eli gible for exemption from the Inactive 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1500 



APPROVED RULES 



Hazardous Waste Sites Priority List pursuant to G.S. 130A- 
310.903). 

rij Any information, document, or particular part thereof 
obtained by the Department or its contractors upon request 
pursuant to this Section shall be confidential, and shall not be 
considered to be a public record, when it is determined by 
the Department that such information, if made public, would 
divulge a trade secret. 

(jj The Department shall be under no obligation to act 
upon any request for confidentiality in relation to this Section 
that is not made and substantiated in accordance with G.S. 
66. Article 24. and such information may be made available 
to the public by the Department without further notice to the 
remediating party. 

(k) The rules in this Section may not serve as grounds for 
refusal to disclose any information necessary for an 
enforcement or cost recovery action or to comply with any 
provision of law. 

(1) The REC shall preserve and maintain all documents 
submitted to the REC on behalf of or by the remediating 
party, prepared by the REC. or within the REC's possession- 
custody or control, that in any way relate to work performed 
pursuant to the Rules in Ms. Section including, but not 
limited to. documents of sufficient detail to substantiate the 
facts, data, conclusions and other information set forth in any 
REC opinion or certification. Such documents shall be. kept 
at one or more locations reasonably accessible to the 
Department and in such a form as to enable the Department 
to ascertain whether the response actions which are the 
subject of the REC opinion or certification have been 
performed in compliance with the provisions of the Rules in 
this Section until such time as the record is provided to the 
Department for the public file. The REC shall submit to the 
Department for the public file all work plans and reports 
within 30 days of their completion. The REC shall submit 
to the Department for the public file all other site documents 
at the following milestones: 

(1) completion of each phase of the remedial 
investigation; 

(2) completion of the remedial investigation; 

(3 ) at the close of the 30-day public comment period 
which follows notice of the proposed remedial 
action plan: 

(4) completion of remedial design and construction: 
and 

(5) completion of all remedial action activities. 

(m) Any person required by Paragraph (1) of this Rule to 
preserve and maintain any documents shall preserve and 
maintain those documents for six years after termination of 
the remediating party's agreement with the Department to 
perform a voluntary remedial action pursuant to the Rules in 
this Section. With the Department's written approval based 
on the likelihood of future need for enforcement or review 
purposes, documents required to be maintained need no 
longer be maintained. 

(n) Failure to comply with Department site-related 
requests for information shall cause revocation of an REC's 



approval to perform work and disapproval of any work 
product in question. Remediating parties shall lose their 
eligibility for the. voluntary remedial action program unless, 
within 60 days of notice by the Department of revocation of 
the REC's approval, the name of a successor REC is 
submitted to the Department. Program ineligibility shall also 
result from failure by a remediating party to provide written 
notice to the Department within 60 days of a change in RECs 
for any other reason. 

(o) Nothing in this Section shall be construed to limit the 
Department's authority to take or arrange, or to require a 
responsible party to perform, any response action which the 
Department deems necessary to protect public health, safety 
p_r welfare or the environment. 

(p) Nothing in this Section shall be construed to imply 
authorization by the Department to any person other than the 
Department, or the Department's employees, agents or 
contractors, to enter any property not owned by him or tier 
to carry out a response action, or otherwise injure or interfere 
with any other person ' s rights or interests in real or personal 
property, without that person's consent. After making 
reasonable efforts to obtain reasonable access to any site or 
other location to be investigated as & possible site not owned 
by the remediating party, an REC or remediating party who 
is unable to obtain such access may request, in writing, that 



the Department authorize him or her, or his or her 
employees, agents, representatives or contractors, to enter 
such site or location for the purpose of performing one or 
more necessary response actions. Each such request for 
authorization shall include all of the following information: 
(1) the identity of the person making the request and 
his or her relationship to the ske or location: 
the nature and location of the actionsfs) that he or 
she intends to undertake, the anticipated duration 
of the action(s) and the reasons(s) such access is 
(are) necessary to perform the actionlsl: 
the identity of each person who owns or operates 
the site or location to which access is soug ht: 
the results of any and all attempts to obtain such 
access: and 

certification that a copy of the request has been 
sent to each person who owns or operates such 
sites or locations. 



m. 

Lii 



History Note: Authority G.S. 130A-3 10. 12(b); 130A- 
310.1(c); 130A-310.1(e); 130A -310.3(c); 130A-3 10.5(a); 
130A-310.6; 132-1; 132-1.2; 132-6; 
Eff. April 1. 1997. 

.0304 MINIMUM QUALIFICATIONS FOR 
REGISTERED ENVIRONMENTAL 
CONSULTANTS 

In order to be approved to perform work as an REC. an 
environmental consulting or engineering firm shall meet the 
following requirements. 

(11 REC applicants shall demonstrate that one or more 
persons in their employ individually meet all of the 



1501 



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11:19 



APPROVED RULES 



w 



£iii) 



following standards and requirements and therefore 
qualify to perform the role of RSM for the REC, 
To qualify as an RSM. an individual shall: 
(a) Have the following minimum relevant 
professional experience: 
(i) five years experience in investigation 
and remediation of hazardous 
substance 01 waste disposal sites: 
three years direct experience in 
supervising site investigation and 
remedial action projects: and 
eight years of total relevant 
professional experience, which shall 
be work of a professional grade and 
character performed for a minimum 
averag e of 20 hours per week that 
indicates the applicant is competent 
to render waste site cleanup activity 
opinions. Total relevant professional 
experience performed for less than a 
minimum average of 20 hours per 
week shall be applied toward the 
satisfaction of these requirements on 
a pro rata basis. If an individual 
works more than 40 hours in a week, 
even if having multiple jobs, that 
individual may get credit only for 
one week's worth of work. The 
Department shall consider the 
following criteria in evaluating 
whether an a pplicant RSM's waste 
site cleanup decision-making 
experience and practical experience 
constitute sufficient relevant 
experience: the nature of work 
activities: the field of work activities: 
the types of reports, studies and 
documents prepared: the rang e of 
methods evaluated and selected: the 
number of individuals and disciplines 
of other professionals supervised or 
coordinated: the extent of review of 
conclusions, recommendations and 
opinions by supervisors: the duration 
of employment: and any other factors 
the Department deems pertinent. 
Have sufficient training to meet the 
hazardous waste operations and emergency 
response training standard. 29 CFR 
1910.120. 

Have a four-year or graduate de gree from a 
colleg e or university accredited by a 
regional accrediting agency in one of the 
following fields or a field which the 
Department determines would provide the 
educational background necessary to oversee 
a remedial action: 



m 



(£j 



(i) Biochemistry: 
(ii) Biology: 

(iii) Chemical Engineering: 
(iv) Chemistry: 
(v) Civil Engineering: 
(vi) Earth Science: 
(vii) Environmental Engineering: 
(viii) Environmental Science: 
tixj Epidemiology: 
(x) Geochemistry: 
(xij Geological Engineering: 
(xii) Geology: 
(xiii) Geophysics: 
(xiv) Geotechnical Engineering: 
(xv> Hydrogeology: 
(xvi) Hydrology: 
(xviil Industrial Hygiene: 
(xviii'l Mechanical Engineering: 
(xix) Physics: 
(xxl Soil Science: and 
(xxil Toxicology. 
{djt Have a record of professionalism and 
integrity, demonstrated by the absence of: 
(i) conviction of a felony: 
{ii} conviction of a. misdemeanor 
involving fraud. deceit, 

misrepresentation or forgery: 
(iii) an adverse civil jud gment hi an 
action involving fraud, deceit, 
mi srepresentation . or forgery: 
(iv) disbarment or disciplinary action 
relating to any professional license: 
and 
(v) disqualification from government 
contracts for ne gligent acts or failure 
to perform required work. 
(21 The applicant shall demonstrate that it has an 
established environmental consulting practice. 

History Note: Authority G.S. 130A-3 10. 12(b); 
Eff. April 1. 1997. 

.0306 TECHNICAL STANDARDS FOR 

REGISTERED ENVTRONMENTAL 
CONSULTANTS 

(a.) The REC shall ensure that all documents and plans 
comply with the remediating party's agreement with the 
Department and the Inactive Hazardous Sites Response Act 
and associated rules. 

(b) All work phase completion statements, schedules, 
work plans, and reports require REC certification. An 
REC's certification shall comply with the following : 

(1) REC certification of any document requires 
inclusion of the following statement, si gned by the 
RSM and notarized: 

!!l certify under penalty of law that I am 
personally familiar with the information 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1502 



APPROVED RULES 



contained in this submittal, including any and 

all supporting documents accompanying this 

certification, and that the material and 

information contained herein is. to the best of 

my knowledge and belief, true, accurate, and 

complete and complies with the Inactive 

Hazardous Sites Response Act G.S. 130A-310. 

et seq. and the voluntary remedial action 

program Rules 15A NCAC 13C .0300. lam 

aware that there are significant penalties for 

willfully submitting false, inaccurate or 

incomplete information." 

£2} The RSM shall certify only documents that contain 

the following notarized declaration signed and 

dated by. and including the title of. the highest 

ranking official of the remediating party having 

day-to-day responsibility for the performance of 

the response action which is the subject of the 

submittal: 

Hi certify under penalty of law that I have 
personally examined and am familiar with the 
information contained in this submittal, 
including any and all documents accompanying 
this certification, and that, based on my inquiry 
of those individuals immediately responsible 
for obtaining the information, the material and 
information contained herein is. to the best of 
my knowledge and belief, true, accurate and 
complete. I am aware that there are significant 
penalties for willfully submitting false- 
inaccurate or incomplete information." 

(3) Any work which would constitute the "practice of 
engineering " as defined by G.S. 89C shall be 
performed under the responsible charg e of. and 
si gned and sealed by. a professional engineer 
re gistered in the state of North Carolina. Any 
work which would constitute the "public practice 
of geology" as defined by G.S. 89E shall be 
performed under the responsible charg e of. and 
signed and sealed by. a geologist licensed in the 
state of North Carolina. 

(4) RSM certification of the following documents shall 
occur prior to implementation: 

(A) remedial investigation work plans prepared 
in accordance with Paragraph (g) of this 
Rule: 

(B) remedial action plans prepared in 
accordance with Paragraph (11 of this Rule: 

(C) remedial action preconstruction reports 
prepared in accordance with Paragraph (m) 
of this Rule: and 

(D) any modifications of work schedules. 

(5) The RSM shall prepare certified completion 
statements for the following work phases and 
provide them to the Department at the times 
specified in Rule .0302(1) of this Section: 

(A) completion of phase I of the remedial 



investigation: 
(B) completion of the remedial investigation: 
(CI REC approval of the. proposed remedial 

action plan: 
(D) completion of the remedial design and 

construction: and 
£E) completion of all remedial action activities. 
(6) RSM certification pursuant to the preceding 
paragraph shall include the following statement 
signed by the RSM and notarized: 

"The ["insert work phase] which is the subject of 
this certification has, to the best of my 
knowledge, been completed hi compliance with 
the Inactive Hazardous Sites Response Act G.S. 
130A-310. et seq. and the voluntary remedial 
action program Rules 15A NCAC .0300. and 
[insert name of the REC] is in compliance with 
Rules .0305(d)(2) and .0305(b)(3) of this 
Section. I am aware that there are significant 
penalties for willfully submitti ng false. 
inaccurate or incomplete information." 
Certification of the completion of all remedial 
action activities shall also include the following 
statement: 

"The approved and certified site remedial action 

plan has been implemented, and to the best of 

my knowledge and belief, cleanup levels 

determined pursuant to Rule .0308 of this 

Section have been achieved, and no significant 

or otherwise unacceptable risk or. harm to 

human health or the environment remains at the 

site." 

(c) The REC may approve and certify site activities and 

documents pursuant to the Rules in this Section only when 

the following environmental sample collection and analyses 

criteria are met: 

(1) The REC shall employ analytical and 
environmental monitoring data, to support 
recommendations or conclusions with respect to 
assessment, removal, treatment, or containment 
actions, which are scientifically valid and of a 
level of precision and accuracy commensurate with 
their stated or intended use. 

(2) Procedures and methodolog ies employed for the 
collection and analysis of soil, sediment, water, 
vapor, air, and waste samples shall be: 

(A) methods published by the United States 
Environmental Protection Agency 

(USEPA). the American Society for Testing 
and Materials (ASTM). the American 
Public Health Association (APHA). the 
National Institute for Occupational Safety 
and Health (NIOSH). the American Water 
Works Association (AWWA). or other 
organizations with expertise in the 
development of standardized analytical 
testing methods: or 



1503 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



APPROVED RULES 



(B) modifications of published methods. 

provided that all modifications are 

completely documented. 
(31 The REC may only use laboratories certified to. 
analyze a pplicable certifiable parameters under 
15A NCAC 2H .0800. or a contract laboratory 
under the United States F.nvironmental Protection 
Agency Contract Laboratory Program to analyze 
samples collected pursuant to rules under this 
Section. 

(4) Laboratory and other reports of analyses of 
aqueous samples shall be reported as mass p er unit 
volume: such reports of analyses of solid samples 
shall be reported as mass per unit mass. 

(5) The REC shall only allow sample collection and 
analyses to be performed by persons who are 
qualified by education, training, and experience. 

(61 All documents prepared pursuant to the Rules in 
this Section that contain the results of sample 
collection and analyses shall include the following 
information: 
(A) the date, location, and time of sampling. 

and the name of the individual who 

collected the sample: 
£B) specification of all sample filtration or 

preservation procedures used: 
(CI the date of receipt of the sample at the 

laboratory, and the date(s1 the sample was 

extracted and analyzed: 
(D1 the name and address of the laboratory, and 

proof of certification under 15 A NCAC 2H 

.0800 or the USEPA Contract Laboratory 

Program: 
£E) the sample matrix description and 

identification number(s): 

(F) the sample preparation and analytical 
method name(s1 and numbertsl: 

(G) the results of the analysis, in clearly 
expressed concentration units: 

(HI the sample quantitation limit of each 
reported analyte based upon analytical 
conditions: 
(!) details of any known conditions or finding s 
which may affect the validity of analytical 
data, including but not limited to equipment 
blank, trip blank, method blank, surrogate- 
spiked sample, or other quality control data: 
(J) the laboratory's written justification for any 
sample dilution. additional sample 
preparation, or deviation from specified 
analytical methods: and 
(K) complete chain of custody documentation 
for each sample. 
£d) The REC may approve and certify site activities and 
documents pursuant to this Section only when procedures to 
protect health, safety, public welfare and the environment 
during the performance of response actions are being 



implemented. The scope and detail of health and safety 
procedures shali be commensurate with the degree and nature 
of the risks posed to human and ecological populations by the 
disposal site and response actions. Standardized health and 
safety plans may be appropriate for routine activities 
conducted during response actions. Such procedures shall 
include, without limitation, at least the following: 

fll Measures to protect human populations from 

exposure to hazardous substances. 
(21 Air monitoring activities, if necessary to protect 
the public from exposure to gases and air-borne 
particulates. 
(31 Measures necessary to contain hazardous 
substances, including: 

(AI measures to control stormwater runoff: 
(B1 measures to control dust and other 
environmental media (e.g.. wetting soils'): 
(CI measures to decontaminate vehicles and 
equipment to minimi ie. the spread of 
contaminated soil from the disposal site: 
(D1 measures to secure on-site excavations and 

stockpiles of contaminated materials: and 
(El discontinuance of response actions where 
necessary to protect public health and 
safety. 
(el The REC shall plan and implement the remedial 
investigation so that to the extent practicable the location and 
identity of all hazardous substances discharg ed to the 
environment at a site have been established. All areas 
known, suspected, or. having a reasonable probability of 
being contaminated by hazardous substances shall be 
investigated. 

(fl The REC shall plan and implement the remedial 
investigation so that the areal and vertical extent of hazardous 
substance contamination is delineated for each area of 
concern. 

(gl The REC may certify only remedial investigation plans 

which are prepared in compliance with Paragraphs (cl. (dl. 

(el. and (f) of this Rule and any other applicable 

requirements and which contain at least the following : 

(11 site location information including street address. 

longitude and latitude, and site and surrounding 

property land use: 

(21 a summary of all management practices employed 

at the site for hazardous wastes and any wastes that 

may have contained hazardous substances 

including : a Hst of types and amounts of waste 

generated (with RCRA waste codesl. treatment and 

storag e methods, and ultimate disposition of 

wastes: a description of the facility's past and 

current RCRA status: the location and condition of 

all identified vessels currently or previously used 

to store any chemical products, hazardous 

substances or wastes: and a summary of the nature 

of all identified on-site hazardous substance 

releases, including disposal or spills: 

(31 United States Geological Survey topographic maps 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1504 



APPROVED RULES 



til 






m 

m 

(2) 

10) 



in 



02} 



(13) 



(14) 



each period of ownership since the property was 

originally developed from pristine land: 

operational history with aerial photographs and 

Sanbome Fire Insurance maps to support land-use 

history; 

a list of all hazardous substances which have been 

used or stored at the site, and approximate amounts 

and dates of use or storage as revealed by available 

written documentation and interviews with a 

representative number of former and current 

employees or occupants possessing relevant 

information: 

site environmental permit history, including copies 



of aU federal, state, and local environmental 
permits, past and present, issued to the remediating 
party or within its custody or control: 
a summary of all previous and ongoing 
environmental investigations and environmental 
re gulatory involvement with the site, and copies of 
all associated reports and laboratory data in public 
records, or within the custody or control of the 
REC or remediating party; 

intended procedures for characterizing site 
geologic and hydrogeolog ic conditions and 
identifying and delineating each contamination 
source as to each affected environmental medium- 
including any plan for special assessment such as 



sufficient to display topography within a one-mile 
radius of the site: (151 

a she survey plat including: scale; benchmarks: 
north arrow; locations of property boundaries, 
buildings, structures, all perennial and non- 
perennial surface water features, drainage ditches. (16) 
dense vegetation, known and suspected spill or 
disposal areas, underground utilities, storage (17 s ) 
vessels, existing on-site wells; and identification of 
all adjacent property owners and land usage. As (18) 
provided in G.S. 89C-2. it is unlawful for any 
person to practice land surveying in North (19) 
Carolina, as defined in G.S. 89C. unless such 
person has been duly re gistered as a registered land 
surveyor; 

a description of local geologic and hydrogeologic 
conditions: 

inventory and map of afl identifiable wells. 
springs, and surface-water intakes used as sources (hj 

of potable water within a one-half mile radius of 
each source area, or. if the source area is 
unknown, within a one-half mile radius of each 
point where contamination has been identified at 
the site: 

an evaluation of the site and all adjacent property 
for the existence of any environmentally sensitive 
areas: 

a copy of the current owner' s(s'1 deed(s) to the 
property; 
a chronological listing of all previous owners and 



a geophysical survey: 

intended methods, locations, depths of. and 
justification for, all sample collection points for all 
media sampled, including monitoring well 
locations and anticipated screened intervals: 
proposed field and laboratory procedures for 
quality assurance/quality control: 
proposed analytical parameters and analytical 
methods for all samples: 

equipment and personnel decontami nation 
procedures: and 

a health and safety plan that conforms to the 
federal Occupational Safety and Health Act. 29 
U.S.C. § 651. et seq. and Title 29 of the Code of 
Federal Regulations, and assures that the health 
and safety of nearby residential and business 
commupitjes will not be adversely affected by 
activities related to the remedial investigation. 
The REC may certify oniy remedial investigation 



of reports which are prepared in compliance with Paragraph (c) 
of this Rule and any other applicable requirements and which 
contain at least the following: 

(1) a narrative description of how the investigation 
was conducted, including a discussion of any 
variances from the approved work plan: 

£2} a description of groundwater monitoring well 
design and installation procedures, including 
drilling methods used, completed drilling logs, "as 
built" drawing s of all monitoring wells, well 
construction techniques and materials, geologic 
logs, and copies of all well installation permits: 

(3) a map, drawn to scale, showing all soil sample and 
monitoring well locations in relation to known 
disposal areas or other sources of contamination. 
Monitoring wells shall be surveyed to a known 
benchmark and groundwater elevations to a known 
datum. Soil sample locations shall be surveyed to 
a known benchmark or flagged with a secure 
marker until after the remedial action is completed. 
As provided in G.S. 89C-2. k is unlawful for any 
person to practice land surveying in North 
Carolina, as defined in G.S. 89C. unless such 
person has been duly registered as a registered land 
surveyor: 

£4} a description of all field and laboratory quality 
control and quality assurance procedures followed 
during the remedial investigation: 

(5) a description of procedures used to manag e drill 
cuttings, purg e water and decontamination water: 

(6) a summary of site geologic conditions, including 
a description of soils and vadose zone 
characteristics; 

(7) a description of site hydrogeolog ic conditions (if 
groundwater assessment is determined to be 
necessary), including current uses of groundwater, 
notable aquifer characteristics, a water table 
elevation contour map with groundwater flow 



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APPROVED RULES 



patterns depicted, and tabulated groundwater 
elevation data: 

(8) tabulation of analytical results for all sampling 
(including sampling dates and soil sampling 
depths') and copies of all laboratory reports 
including quality assurance/quality control 
documentation: 

(9) soil, groundwater, surface water and sediment 
conta m inant delineation maps and cross sections, 
including scale and sampling points with 
contaminant concentrations: 

(10) a description of procedures and the results of any 
special assessments such as geophysical surveys, 
immunoassay testing, soil gas surveys, or test pit 
excavations: and 
(111 color copies of site photographs. 
(i) Any proposed remedy which would: 
(It be conducted entirely on site and for which a 
permit waiver is desired under G.S. 130A- 
310.3(et: 
(2t involve on-site containment or ca pping: or 
£3} exceed the three million dollars ($3.000.000t cost 
maximum contained in G.S. 130A-310,9(at 
without 3 waiver, shall require Department 
concurrence prior to implementation. The REC 
shall submit to the Department a brief summary of 
available remedies, their projected costs, and in 
each case reasons why a remedy was accepted or. 
rejected. 
Q} Thirty days prior to a pproving any remedial action 
plan, the REC shall provide notice of the remedial action 
plan to those who have requested notice that such plans have 
been developed, as provided in G.S. 130A-310.4(ct(2t. The 
REC shall provide proof of such notice and any resulting 
comments from the public to the Department prior to 
approval of the remedial action plan. 

(kt Remedial actions that involve the emission or 
discharg e of hazardous substances to the atmosphere shall be 
conducted in a manner that provides for the protection of 
human health and the environment, m conformance with this 
Section and any applicable permits, approvals, laws or other 
rules or regulations. 

d) The REC may certify only remedial action plans which 
are prepared in compliance with Paragraphs (ct. (dt. (it. (jt. 
and (kt. of this Rule and any other applicable requirements 
and which contain at least the following : 

(It A discussion of the results of the remedial 

investigation including media contaminated. 

contaminants of concern, and the areal and vertical 

extent of contamination. 

(2t A brief statement of objectives for the remedial 

action. 
(3t An evaluation of available remedial alternatives 
using the following feasibility study criteria: 
(At protection of human health and the 
environment, including attainment of 
cleanup levels: 



CD) 

CE) 



m 






(B) compljanpe with a pplicable federal, state 
and local regulations: 
long-term effectiveness and permanence: 
reduction of toxicity, mobility and volume: 
short-term effectiveness, i.e.. effectiveness 
at minimizing the impact of the site 
remedial action on the environment and the 
local community: 

implementability. i.e.. technical and 
logistical feasibility, including aa estimate 
of time required for completion: 
cost: and 

community acceptance. 
{4} A detailed description and conceptual design of the 
proposed remedy, including process flow diagrams 
and pre-design drawings of all major components 
of the treatment train. 
(5) A demonstration that the proposed remedy is 
supported by the remedial alternative feasibility 
study conducted pursuant to Subparagraph (lt(3t of 
this Rule. 
£6} A description of all activities necessary to 
implement the proposed method(s) of remedial 
action in compliance with applicable laws and 
regulations and in a manner such that cleanup 
standards are met. These activities include, but are 
not limited to. well installation and abandonment- 
sampling, run-on/ run-off control, discharge of 
treated waste streams, and management of 
investigation and remedial action derived wastes. 
(7t A description of any proposed treatability studies 
and additional site characterization needed to. 
support the final design. 
(8) A description of procedures and a schedule for 
additional site characterization, treatability studies, 
final design, construction, operation and 
maintenance, system monitoring and performance 
evaluation, and progress reporting. 
(9t A description of the criteria for remedial action 
completion, including procedures for post-remedial 
and confirmatory sampling . 
(lOt A health and safety plan that conforms to. the 
federal Occupational Safety and Health Act. 29 
U.S.C. § 651. et se q. and Title 29 of the Code of 
Federal Re gulations, and assures that the health 
and safety of nearby residential and business 
communities will not be adversely affected by 
activities related to the remedial action. 
(lit Equipment and personnel decontamination 

procedures. 
(mt Prior to be ginning construction, the REC shall certify 
remedial action preconstruction reports which contain at least 
the following : 

(It the results of all treatability studies and additional 
site characterization work completed since the 
remedial investigation: 
(2) Final engineering design report, including a 



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January 2, 1997 



1506 



APPROVED RULES 



narrative description of process design, final plans 
and specifications, and an updated project 
schedule: and 
(3) copies of final registrations, permits and 
approvals, 
(n) The REC may certify only remedial action 
construction completion reports which contain at least: 

(1) ^ag hinlt" plans and specifications: 

(2) a summary of major variances from the final 
design plans: and 

(3) a summary of any problems encountered during 
construction- 
al The RFC shall prepare and certify quarterly remedial 

action progress reports for remedial actions of greater than 
three months duration. Groundwater remedial action 
progress reports may be prepared on an annual basis after the 
first full year of remedial action and the completion of four 
quarterly monitoring events. The REC may certify only 
remedial action progress reports which are prepared in 
compliance with Paragraph (c) of this Rule and any other 
applicable requirements and which contain at least the 
following: 

( 1) operation and maintenance results, i.e.. summaries 
of remedial action operating and maintenance 
requirements and a discussion of major problems 
encountered: 

(2) performance evaluation results, i.e.. tabulated and 
graphical presentations of monitoring data and a 
comparison of remedial action performance to 
design goals: 

(3) a description of all field and laboratory quality 
control and quality assurance procedures followed 
during any sampling and analysis: 

(41 tabulation of analytical results for all sampling and 
copies of all laboratory reports including quality 
assurance/quality control documentation: and 
(5) a map, drawn to scale, showing all soil sample and 
monitoring well locations, 
(p) The REC may certify only final remedial action 
completion reports which contain at least the following: 
(11 a final progress report which includes all the 
information required under Paragraph (o) of this 
Rule: 
(21 a summary of remedial action operating experience 
and effectiveness in meeting desig n goals, based on 
all performance monitoring data and progress 
reporting to date: 
(3) a discussion of criteria for remedial action 
completion, and a demonstration, supported by 
confirmatory sampling data, that such criteria have 
been satisfied: and 
(41 a summary of total project costs. 
(q) In the performance of its role pursuant to the Rules in 
this Section, the REC shall manag e investigation or remedial 
action derived wastes in 2 manner that provides for the 
protection of human health and the environment and that 
complies with all applicable federal, state, and local laws. 



rules, and regulations. 

History Note: Authority G.S. 130A-3 10. 12(b); 
Eff. April 1. 1997. 



TITLE 17 - DEPARTMENT OF REVENUE 

CHAPTER 7 - SALES AND USE TAX 

SUBCHAPTER 7B - STATE SALES AND USE TAX 

SECTION .1600 - SALES TO OR BY HOSPITALS: 

EDUCATIONAL: CHARITABLE OR RELIGIOUS 

INSTITUTIONS: ETC., AND REFUNDS THERETO 

. 1 602 REFUNDS TO NONPROFIT ENTnTES AND 
MEDICINES AND DRUGS PURCHASED BY 
HOSPITALS 

(a) The refund provisions contained in this Rule do not 
apply to the tax on taxable sales by the nonprofit entities 
named in G.S. 105-164. 14(b) and no part thereof shall be 
refunded or claimed as a refund. Nonprofit entities 
registered for sales and use tax purposes may purchase the 
tangible personal property which they resell without paying 
tax thereon to their suppliers provided they have furnished 
such suppliers with properly executed Certificates of Resale, 
Form E-590. Certificates of resale may not be used by any 
nonprofit entity in making purchases of tangible personal 
property to be used or consumed by such purchaser. 

(b) All refund claims shall be substantiated by proper 
documentary proof and only the taxes actually paid by the 
claimant during the period for which the claim for refund is 
filed may be included in the claim. Any local sales or use 
taxes included in the claim shall be separately stated in the 
claim for refund. In cases where more than one county's tax 
has been paid, a breakdown shall be attached to the claim 
showing the amount of each county's local tax separately. 

(c) As to taxes paid on the claimant's purchases for use, 
other than those made by contractors performing work for the 
claimant, invoices or copies of invoices showing the property 
purchased, the cost thereof, the date of purchase and the 
amount of state and local sales or use tax paid during the 
refund period wirl shall constitute proper documentary proof. 

(d) To substantiate a refund claim for sales or use taxes 
paid on purchases of building materials, supplies, fixtures 
and equipment by its contractor, the claimant shall secure 
from such contractor certified statements setting forth the 
cost of the property purchased from each vendor and the 
amount of state and local sales or use taxes paid thereon. In 
the event the contractor makes several purchases from the 
same vendor, such certified statement shall indicate the 
invoice numbers, the inclusive dates of the invoices, the total 
amount of the invoices and the sales and use taxes paid 
thereon. Such statement shall also include the cost of any 
tangible personal property withdrawn from the contractor's 
warehouse stock and the amount of state and local sales or 



1507 



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11:19 



APPROVED RULES 



use tax paid thereon by the contractor. Similar certified 
statements by his subcontractors shall be obtained by the 
general contractor and furnished to the claimant. Any local 
sales or use taxes included in the contractor's statements shall 
be shown separately from the state sales or use taxes. The 
contractor's statements shall not contain sales or use taxes 
paid on purchases of tangible personal property by such 
contractors for use in performing the contract which does not 
annex to, affix to or in some manner become a part of the 
building or structure being erected, altered or repaired which 
is owned or leased by a nonprofit entity for use by a 
nonprofit entity named in G.S. 105-164. 14(b) for carrying on 
its nonprofit activities. Examples of property on which sales 
or use tax has been paid by the contractor and which shall not 
be included in the contractor's statement are scaffolding, 
forms for concrete, fuel for the operation of machinery and 
equipment, tools, equipment repair parts, equipment rentals 
and blueprints. 

(e) The refund provisions set forth in this Rule apply only 
to the nonprofit entities described in G.S. 105-164. 14(b), but 
do not apply to nonprofit fraternal, civic or patriotic 
organizations, notwithstanding that such organizations may 
perform certain charitable functions. The refund provisions 
set forth in this Rule do not apply to nonprofit entities which 
are owned and controlled by the United States, the state or a 
unit of local government except hospitals and medical 
accommodations created under the Hospital Authorities Law, 
Article 2 of Chapter 13 IE of the General Statutes and 
nonprofit hospitals owned and controlled by a unit of local 
government that elect to receive semiannual refunds under 
G.S. 105-164. 14(b) instead of annual refunds under G.S. 
105-164. 14(c). Any nonprofit hospital owned and controlled 
by a unit of local government may submit a written request 
to receive semiannual refunds under G.S. 105-164. 14(b) 
instead of annual refunds under G.S. 105-164. 14(c). The 
request shall be effective beginning with the six-months 
refund period following the date of the request and applies to 
sales or use taxes paid on or after the first day of the refund 
period for which the request is effective. 

(f) The refund provisions of this Rule are not applicable 
to sales taxes incurred by employees on purchases of food, 
lodging or other taxable travel expenses paid by employees 
and reimbursed by the type of nonprofit entities named in 
G.S. 105-164. 14(b). Such expenses are personal to the 
employee since the contract for food, shelter and travel is 
between the employee and the provider and payment of the 
tax is by the employee individually and personally. Such 
nonprofit entities have not incurred and have not paid any 
sales tax liability. In such cases, it has chosen to reimburse 
a personal expense of the employee. The refund provisions 
of this Rule do not apply to sales tax paid by the nonprofit 
entities named in G.S. 105-164. 14(b) on charges by a utility 
for electricity, piped natural gas and local, toll or private 
telecommunications services; to the occupancy taxes levied 
and administered by certain counties and cities in this state; 
to the prepared food and beverage taxes levied by various 
local governments in North Carolina; to the highway use 



taxes paid on the purchase, lease or rental of motor vehicles; 
to the scrap tire disposal tax levied on new mutui vehiile 
tires; or to the white goods disposal tax levied on new white 
goods. Such taxes shall not be included in any claim for 
refund filed by such nonprofit entities. 

History Note: Authority G.S. 105-164.14; 105-262; 105- 

264; 

Eff. February 1, 1976; 

Amended Eff April L. 1997: August 1, 1996; October 1, 

1993; March 1, 1993; June 1, 1992; October 1, 1991. 

SECTION .1700 - SALES TO OR BY THE STATE: 

COUNTIES: CITIES: AND OTHER POLITICAL 

SUBDIVISIONS 

. 1702 REFUNDS TO COUNTDZS: CITIES: ETC. 

(a) Governmental entities, as defined by G.S. 
105-164. 14(c), are entitled to an annual refund of sales and 
use taxes paid by them on their direct purchases of tangible 
personal property, subject to the terms and conditions 
hereafter set forth. The refund provisions of this Rule are 
not applicable to sales taxes incurred by employees on 
purchases of food, lodgings or other taxable travel expenses 
paid by employees and reimbursed by governmental entities. 
Such expenses are personal to the employee since the contract 
for food, shelter and travel is between the employee and the 
provider and payment of the tax is by the employee 
individually and personally. The governmental entity has not 
paid any sales tax liability. In such cases, it has chosen to 
reimburse a personal expense to the employee. The refund 
provisions of this Rule do not apply to sales taxes paid by the 
governmental entities named in G.S. 105-164. 14(c) on 
charges by a utility for electricity, piped natural gas and 
local, toll or private telecommunications services; to the 
occupancy taxes levied and administered by counties and 
cities in this state; to the prepared food and beverage taxes 
levied by various local governments in North Carolina; to the 
highway use taxes paid on the purchase, lease or rental of 
motor vehicles; to the scrap tire disposal tax levied on new 
motor v e hicl e tires; or to the white goods disposal tax levied 
on new white goods. Governmental entities, as defined, and 
the Federal Government are entitled to annual refunds of 
sales and use taxes paid in North Carolina by their 
contractors on purchases of building materials, supplies, 
fixtures and equipment which become a part of or are 
annexed to any building or structure being erected, altered or 
repaired under contract with such governmental entities 
which is owned or leased by such governmental entities for 
their use. 

(b) Nonprofit hospitals owned and controlled by a unit of 
local government may file claims for refund of sales and use 
taxes on a semiannual basis under the provisions of G.S. 
105-164. 14(b) rather than file annually as a part of the local 
government. In order to file semiannually, the hospital shall 
submit a written request to the Secretary of Revenue and the 
request shall be effective beginning with the six-month 



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January 2, 1997 



1508 



APPROVED RULES 



refund period following the date of the request and applies to 
sales and use taxes paid on or after the first day of the refund 
period for which the request is effective. 

(c) All refund claims must be substantiated by proper 
documentary proof and only those taxes actually paid by the 
claimant during the fiscal year covered by the refund claim 
may be included in the claim. Any local sales or use taxes 
included in the claim must be separately stated in the claim 
for refund. In cases where more than one county's sales and 
use tax has been paid, a breakdown must be attached to the 
claim for refund showing the amount of each county's local 
tax separately. 

(d) As to taxes paid by governmental entities on purchases 
for use, other than those made by contractors performing 
work for the claimant, invoices or copies of invoices showing 
the property purchased, the cost thereof, the date of 
purchase, the amount of state and local sales or use tax paid 
thereon and a record reflecting the date of payment wrH shall 
constitute proper documentary proof. 

(e) To substantiate a refund claim for sales or use taxes 
paid on purchases of building materials, supplies, fixtures, 
and equipment by its contractor, the claimant shall secure 
from such contractor certified statements setting forth the 
cost of the property purchased from each vendor and the 
amount of state and local sales or use taxes paid thereon. In 
the event the contractor makes several purchases from the 
same vendor, such certified statement shall indicate the 
invoice numbers, the inclusive dates of the invoices, the total 
amount of the invoices, and the state and local sales and use 
taxes paid thereon. Such statement shall also include the cost 
of any tangible personal property withdrawn from the 
contractor's warehouse stock and the amount of state and 
local sales or use tax paid thereon by the contractor. Similar 
certified statements by his subcontractors shall be obtained by 
the general contractor and furnished to the claimant. Any 
local sales or use taxes included in the contractor's statements 
shall be shown separately from the state sales or use taxes. 
The contractor's statements shall not contain sales or use 
taxes paid on purchases of tangible personal property 
purchased by such contractors for use in performing the 
contract which does not annex to, affix to or in some manner 
become a part of the building or structure being erected, 
altered or repaired that is owned or leased by a governmental 
entity for use by the governmental entity as defined by G.S. 
105-164. 14(c). Examples of property on which sales or use 
tax has been paid by the contractor and which shall not be 
included in the contractor's statement are scaffolding, forms 
for concrete, fuel for the operation of machinery and 
equipment, tools, equipment repair parts, equipment rentals 
and blueprints. 

History Note: Authority G.S. 105-164.14; 105-262; 
Eff. February 1, 1976; 

Amended Eff. April h 1997: August 1, 1996; October 1, 
1993; October 1, 1991; May 1, 1990; February 1, 1987. 

SECTION .1800 - HOSPITALS AND SANITARIUMS 



.1802 REFUNDS TO HOSPITALS: ETC. 

(a) Hospitals, sanitariums, religious institutions and 
organizations, charitable nursing homes, and charitable rest 
homes not operated for profit are entitled to semiannual 
refunds of sales and use taxes paid by them on their direct 
purchases of tangible persona] property, including medicines 
and drugs, for use in carrying on their work. For the 
purpose of the refund, sales or use taxes paid by contractors 
on their purchases of building materials, supplies, fixtures 
and equipment which become a part of or are annexed to a 
building or structure being erected, altered or repaired under 
contract with such hospitals, sanitariums, charitable nursing 
homes and charitable rest homes that is owned or leased by 
such institutions and used in carrying on their nonprofit 
activities are deemed to be taxes paid on direct purchases. 

(b) As to taxes paid on purchases for use other than those 
made by contractors performing work for the claimant, 
invoices or copies of invoices showing the property 
purchased, the cost thereof, the date of purchase and the 
amount of sales or use tax paid thereon during the refund 
period wrtt shall constitute proper documentary proof. To 
substantiate a refund claim for sales or use taxes paid on 
purchases of building materials, supplies, fixtures and 
equipment by its contractor, the claimant shall secure from 
such contractor certified statements setting forth the cost of 
the property purchased from each vendor and the amount of 
sales and use taxes paid thereon. In the event the contractor 
makes several purchases from the same vendor, the certified 
statements may indicate the invoice numbers, the inclusive 
dates of the invoices, the total amount of the invoices and the 
sales or use taxes paid thereon in lieu of an itemized listing 
of each separate invoice. The statements shall also include 
the cost of any tangible personal property withdrawn from 
the contractor's warehouse stock and the amount of sales or 
use tax paid thereon by the contractor. Similar certified 
statements by his subcontractors shall be obtained by the 
general contractor and furnished to the claimant. 

(c) Sales and use taxes paid by hospitals, sanitariums, 
charitable nursing homes and charitable rest homes which are 
agencies of counties and incorporated cities and towns on 
their direct purchases of tangible personal property, including 
medicines and drugs, and by their contractors on purchases 
of building materials, supplies, fixtures and equipment 
becoming a part of or annexing to a building or structure 
being erected, altered or repaired under contract with such 
institutions that is owned or leased by such institutions for 
their own use are also refundable; however, such refund shall 
be included in the claim filed by the county or incorporated 
city or town which is to be filed within six months after the 
close of the claimant's fiscal year. The documentary proof 
as explained in Paragraph (b) of this Rule shall be submitted 
to the county or incorporated city or town filing the claim. 
The refund provisions are not applicable to hospitals, 
sanitariums, charitable nursing homes and charitable rest 
homes which are agencies of the state or any political 
subdivisions thereof other than counties and incorporated 
cities and towns. Nonprofit hospitals owned and controlled 



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11:19 



APPROVED RULES 



by a unit of local government may file for a refund on a 
semiannual basis under G.S. 105-164. 14(b) rather than file 
annually as a part of the local government unit. In order to 
file semiannually, the institution shall submit a written 
request to do so to the Secretary of Revenue and the request 
is effective beginning with the six-months refund period 
following the date of the request and applies to sales and use 
tax paid on or after the first day of the refund period for 
which the request is effective. 

(d) The refund provisions set forth in Paragraphs (a), (b) 
and (c) of this Rule are not applicable to taxes paid by 
hospitals, sanitariums, religious institutions and 
organizations, charitable nursing homes and charitable rest 
homes on their taxable sales and these taxes shall not be 
refunded or claimed as a refund. The refund provisions are 
not applicable to sales tax incurred by employees on 
purchases of food, lodgings or other taxable travel expenses 
paid by employees and reimbursed by the institution. Such 
expenses are personal to the employee since the contract for 
food, shelter and travel is between the employee and the 
provider and payment of the tax is by the employee 
individually and personally and such tax shall not be 
refunded under the provisions of this Rule. The institution 
has incurred and paid no sales tax liability. In such cases, it 
has chosen to reimburse a personal expense of the employee. 

(e) The refund provisions set forth in Paragraphs (a), (b) 
and (c) of this Rule are not applicable to sales taxes paid by 
hospitals, sanitariums, charitable nursing homes and 
charitable rest homes on charges by a utility for electricity, 
piped natural gas and local, toll or private 
telecommunications services; to the occupancy taxes levied 
and administered by certain counties and cities in this state; 
to the prepared food and beverage taxes levied by various 
local governments in North Carolina; to the highway use 
taxes paid on the purchase, lease or rental of motor vehicles; 
to the scrap tire disposal tax levied on new mutui v e hicle 
tires; or to the white goods disposal tax levied on white 
goods. 

History Note: Authority G.S. 105-164.14; 105-262; 105- 

264; 

Eff. February 1, 1976; 

Amended Eff. April L 1997: August 1, 1996; October 1, 

1993; October 1, 1991; May 1, 1990; May 1, 1985. 

SECTION .3100 - RADIO AND TELEVISION 
STATIONS: MOTION PICTURE THEATRES 

.3106 COMMERCIAL CABLE TELEVISION 
COMPANIES 

(a) For the purpose of applying the maximum tax of 
eighty dollars ($80.00) per article, a television tower is a 
single article when the complete tower is sold by the same 
vendor. The tower antenna is considered to be a separate 
single article. Sales of antenna cable, transmission cable and 
trunk, feeder and drop cable to cable television companies for 
use in broadcasting are subject to a one percent rate of tax 



without any maximum tax applicable thereto. The term 
"commercial cable television company," as used in this Rule, 
means a cable television company that receives consideration 
from its subscribers and uses broadcasting equipment and 
parts and accessories and/ui and a tower to receive and 
prepare signals for transmission over their cable systems and 
also is regulated and supervised by the Federal 
Communications Commission. 

(b) Charg e s The sale of developed movie film to 
commercial cable television stations which operate under the 
regulation and supervision of the Federal Communications 
Commission for — develop e d — firm for use by them in 
broadcasting and telecasting programs are is subject to the 
one percent rate of tax. 

(c) Taxable tangible personal property purchased by cable 
television companies other than towers, antennas and 
purchases of broadcasting equipment and parts and 
accessories thereto are subject to the four percent state tax 
and any applicable local sales or use tax. 

History Note: Authority G.S. 105-164.4; 105-164.6; 

105-262; 

Eff. March 1, 1984; 

Amended Eff. April L. 1997: October 1, 1993; October 1, 

1991; August 1, 1986; December 1, 1984. 



TITLE 21 - OCCUPATIONAL LICENSING BOARDS 

CHAPTER 60 - BOARD OF REFRIGERATION 
EXAMINERS 

SECTION .0200 - EXAMINATIONS 

.0207 REQUIREMENTS FOR EXAMINATION 
APPLICANTS 

(a) An applicant for the commercial refrigeration 
examination shall be eligible to take the that examination 
upon: 

(1) Filing with the Board an application, on a form 
provided by the Board, together with the combined 
examination-license fee. 

(2) Furnishing with his application information 
satisfdctuiUy verifying that he has acquired at least 
4000 hours of commercial refrigeration experience 
gained while engaged actively and directly in the 
installation, maintenance, servicing or repairing of 
commercial, industrial or institutional refrigeration 
equipment. Prior — to — filing — the — applica t ion, 
quali f ying experience must be acquiied while 
wuiking uudei th e sup e ivisiun uf a p e isun whu 
hulds a valid lefiigeidtiuu cuntiactui's lic e nse, 
whu is a legisteied piufessioual eugiueei ui whu 
has e quivalent industry exp e ri e nc e . Up to on e -half 
th e e xperience may b e in academic or technical 
training dir e ctly relat e d to th e fi e ld uf endeavui fui 
which examination is icquested. — Applicants whu 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1510 



APPROVED RULES 



ubtnin a liiens e will receive a certificate issu e d by 

the Budiii, b e aring that lic e nse numb e r. — The 

lic e nse shall nut b e assigned ui tiansfened tu 

anuth e i individual. 

(b) An applicant for the transport refrigeration 

examination shall be eligible to take that examination upon: 

(11 Filing with the Board an application, on a form 

provided by the Board, together with the combined 

examination license fee. 

(21 Furnishing with his application information 

verifying that he has acquired at least 4000 hours 

of transport or commercial refrigeration experience 

oi a combination of both gained while engaged 

actively and directly in the installation. 

maintenance, servicing or repairing of transport or 

commercial refrigeration equipment or. a 

combination of both. 

£c} Prior to filing the application, qualifying experience 

shall be acquired while working under the supervision of a 

person who holds a valid refrigeration contractor's license. 

who is a registered professional engineer or who has 

equivalent industry experience. Up to one-half of the 

experience may be in academic or technical training directly 

related to the field of endeavor for which the examination is 

requested. Applicants who obtain a license shall receive a 

certificate issued by the Board, bearing that license number. 

The license shall not be assigned or transferred to another 

individual. 

(d) An individual holding a valid transport contractor 
refrigeration license shall be eli gible to sit for the commercial 
refrigeration examination upon filing with the Board an 
application, on a form provided by the Board, together with 
the combined examination-license fee. 

{e} fb) The deadline for receipt of applications for a 
regular examination shall be six weeks prior to the 
examination date. If an application is received after the 
published deadline, it shall be returned to the applicant, and 
he shall be notified that he may apply for and take the next 
examination. This requirement may be waived for illness, 
personal necessity or similar extenuating circumstances. The 
Board publish e s shall publish the deadline for application 
receipt in selected newspapers, on posters mailed to all 
refrigeration wholesalers in North Carolina and in its 
quarterly newsletter. 

(f) fc) If a person files an application for examination 
which is accepted, and takes and fails the examination, his 
verification of refrigeration experience is shall be kept and rs 
shall be sufficient for taking any future examination, 
provided he files another application accompanied by the 
required fee. 

History Note: Authority G.S. 87-54; 87-58; 

Eff. October 1, 1984; 

Amended Eff. April L 1997: December 1, 1993; April 1, 

1989; September 1, 1988. 



CHAPTER 63 - CERTIFICATION BOARD FOR 
SOCIAL WORK 

SECTION .0300 - EXAMINATIONS 

.0306 EXAMINATION FEES 

(a) An examination fee of one huudied dullais ($100.00) 
fifteen dollars ($15.001 plus the cost of fns examination to 
the Board ■witt shall be assessed for administration and 
processing of any written examination. 

(b) An applicant who fails to appear for an examination 
shall be assessed a fee of ou e bundled dullais ($100.00) 
fifteen dollars ($15.001 plus the cost of the examination to 
the Board in order to take the examination at a later date. 

History Note: Authority G.S. 90B-6; 
Eff. August 1, 1987; 
Amended Eff. September 1 . 1993; 
Temporary Amendment Eff. January 1, 1996; 
Amended Eff. April L. 1997. 



TrTLE 23 - DEPARTMENT OF COMMUNITY 
COLLEGES 

CHAPTER 2 - COMMUNITY COLLEGES 

SUBCHAPTER 2D - COMMUNITY COLLEGES: 
FISCAL AFFAIRS 

SECTION .0300 - BUDGETING: ACCOUNTING: 
FISCAL MANAGEMENT 

.0325 LIMITATION IN REPORTING STUDENT 
MEMBERSHIP HOURS 

(a) Student hours may shall not be reported for 
budget/FTE which result from: 

(1) Conferences or visits. General types of meetings 
usually of one or more day's duration, attended by 
a fairly large number of people. A conference or 
visit may have a central theme, but is loosely 
structured to cover a wide range of topics. The 
emphasis is on prepared presentations by 
authoritative speakers, although division into small 
group sessions for discussion purposes is often a 
related activity. 

(2) Seminars or Meetings. A small group of people 
meeting primarily for discussion under the 
direction of a leader or resource person or persons. 
Seminars and meetings are generally one-time 
offerings even though they may continue for more 
than one day. 

(3) Programs of a service nature rather than 
instructional classes. 

(4) Enrollment of high school students not in 
compliance with 23 NCAC 2C.0301 and 2C.0305. 

(5) Unsupervised classes. 



1511 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



APPROVED RULES 



(6) Proficiency or challenge exams except that the 
actual time required to take the exam may be 
counted in membership; students must shall be 
registered in the class consistent with Paragraph (a) 
of Rules .0202 and .0203 of this Subchapter. 

(7) Homework assignments. 

(8) Inter-institutional or intramural sports activities 
including those of prison inmates. 

(9) Effective July 1, 1993, no budget/FTE shall be 
generated by occupational extension students after 
their first repetition of an occupational extension 
course. Students who take an occupational 
extension course more than twice within a 
five-year period shall pay their cost for the course 
based on the amount of funds generated by a 
student membership hour for occupational 
extension multiplied by the number of actual hours 
the class is to be taught. These students wrH shall 
not generate budget/FTE. The funds collected 
from these students wrH shall be used by the 
colleges to offer additional educational courses. 
This subparagraph does not apply to fire, rescue. 
or law enforcement training courses taken by fire, 
rescue, or law enforcement personnel. 

(b) (A) A statement on occupational extension course 
repetitions consistent with the requirements of this rule shall 
be included in college advertisements, schedules and 
catalogs. Students shall be notified during registration that 
they will be charged the full cost of courses which they have 
taken twice within a five-year period and in which they wish 
to enroll. Students shall be primarily responsible for 
monitoring course repetitions; however, the colleges shall 
review records and charge students full cost for courses taken 
more than twice. 

(c) (B) Senior citizens who are legal residents of North 
Carolina and who wish to enroll in an occupational extension 
course, wiH shall not be required to pay for taking the course 
twice. Senior citizens who take an occupational extension 
course more than twice within a five-year period shall pay 
their cost for the course based on the amount of funds 
generated by a student membership hour for occupational 
extension multiplied by the number of actual hours the class 
is to be taught. These senior citizens wrH shall not generate 
budget/FTE. The funds collected from these senior citizens 
writ shall be used by the colleges to offer additional 
educational courses. 

(d) (€) Students may repeat occupational extension 
courses more than once if the repetitions are required for 
certification, licensure, or recertification. The colleges shall 



submit annual reports to the State Board of Community 
Colleges naming the students and the certification, licensure 
or recertification requirements that necessitated the 
repetition. 

(e) {b) Self-supporting classes are shall not to be reported 
for regular budget purposes (those classes supported by 
student fees or a class in which instruction is provided 
gratis); all recreational extension classes fall in this category. 

(f) fr) Occupational extension instruction shall not be 
offered in sheltered workshops and adult developmental 
activity centers (ADAP) except sheltered workshops and 
ADAP centers may contract with the community college to 
provide occupational extension courses on a self-supporting 
basis. 

(g) ftr) Educational programs offered in a correctional 
department setting shall report full-time equivalent (FIE) 
student hours on the basis of contact hours. 

History Note: Filed as a Temporary Amendment Eff. 
November 1, 1993, for a period of 180 days or until the 
permanent rule becomes effective, whichever is sooner; 
Filed as a Temporary Amendment Eff. October 15, 1992, for 
a period of 180 days to expire on April 15, 1993; 
Authority G.S. 115D-5; 
Eff September 1, 1988; 

Amended Eff. March L 1997: June 1, 1994; September 1, 
1993. 

CHAPTER 3 - MISCELLANEOUS PROGRAMS 

SUBCHAPTER 3A - PROPRIETARY SCHOOLS 

SECTION .0100 - BUSINESS, TRADE AND 
TECHNICAL SCHOOLS 

.0113 STUDENT REFUND 

Any proprietary business, trade, or technical school that is 
licensed by the State Board of Community Colleges is subject 
to the refund policies set forth in Subparagraphs (e)(1) 
throug h (3) of Rule 2D .0202 and Subparagraphs £d} (JQ 
through {3} and £5} of Rule 2D .0203 of this Title- 
Proprietary schools are not required to deposit funds 
collected for tuition with the State Treasurer's Office. 

History Note: Authority G.S. 115D-90; 
Eff. March 1. 1997. 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1512 



LIST OF RULES CODIFIED 



JL he List of Rules Codified 


is a listing of rules that were filed with OAH in the month indicated and have been 


entered into the Code. 






I\ey 






Citation 


— 


Title, Chapter, Subchapter and Rule(s) 


AD 


- 


Adopt 


AM 


= 


Amend 


RP 


= 


Repeal 


With Chgs 


= 


Final text differs from proposed text 


Corr 


= 


Typographical errors or changes that requires no rulemaking 


Temp. 


= 


Rule was filed as a temporary rule 


Eff. Date 




Date rule becomes effective 



NORTH CAROLINA ADMINISTRATIVE CODE 
NOVEMBER 96 



TITLE DEPARTMENT 

10 Human Resources 

15A Environment, Health, 

and Natural Resources 



TITLE DEPARTMENT 

2 1 Occupational Licensing Boards 

32 - Medical Examiners 



RULE CrTATtON 


AD 


AM 


RP 


WTTH 
CHGS 


CORK 


TEMP 


EFFECTIVE 
DATE 






10 NCAC 3R TOC 










/ 






.2412 


/ 






/ 






12/01/96 


.2413 


/ 






/ 






12/01/96 


.2502 










/ 






.2510 


/ 






/ 






12/01/96 


.2512 


/ 






/ 






12/01/96 


.2612 


/ 






/ 






12/01/96 


.3103 










/ 






15A NCAC 2Q .0102 










/ 






3M .0503 




/ 








/ 


12/23/96 


.0506 




/ 








/ 


12/23/96 


.0514 


/ 










/ 


12/23/96 


7H .0308 




/ 




/ 






12/01/96 


21 NCAC 32F .0003 




/ 








/ 


11/25/96 



1513 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



RULES REVIEW COMMISSION 



1 his Section contains the agenda for the next meeting of the Rules Review Commission on Thursday. January 16. 1997. 
10:00 a.m. . at 1307 denwood Ave. , Assembly Room, Raleigh, NC. Anyone wishing to submit written comment on any rule 
before the Commission should submit those comments to the RRC staff, the agency, and the individual Commissioners by 
Monday. January 13. 1996. at 5:00 p.m. Specific instructions and addresses may be obtained from the Rules Review 
Commission at 919-733-2721. Anyone wishing to address the Commission should notify the RRC staff and the agency at 
least 24 hours prior to the meeting. 



RULES REVIEW COMMISSION MEMBERS 



Appointed by Senate 

Vernice B. Howard 

Teresa L. Smallwood 

Charles H. Henry 

Philip O. Redwine - Vice Chairman 



Appointed by House 

Bill Graham 

James Mallory, IH 

Paul Powell 

Anita White 



RULES REVIEW COMMISSION MEETING DATES 



January 16, 1997 
February 20, 1997 
March 20, 1997 



April 17, 1997 
May 15, 1997 
June 19, 1997 



RULES REVIEW OBJECTIONS 



BOARD OF DENTAL EXAMINERS 

21 NCAC 16H .0104 - Approved Education and Training Programs 

Agency Revised Rule 
21 NCAC 16H .0202 - Specific Permitted Functions of Dental Assistant I 

Agency Revised Rule 



RRC 


' Objection 


09/19/96 


Obj. 


Removed 


10/17/96 


RRC 


' Objection 


09/19/96 


Obj. 


Removed 


10/17/96 



ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

Coastal Management 



15 A NCAC 7H .0104 - Development Initiated Prior to Eff. Date of Revisions 

15 A NCAC 7H .0304 - AECs Within Ocean Hazard Areas 

15 A NCAC 7H .0305 - General Identification and Description of Landforms 

Environmental Management 

15A NCAC 2B .0101 - General Procedures 

No Response from Agency 

Agency Responded 

Rule Returned to Agency 

Agency Filed Rule for Codification Over RRC Objection 
15A NCAC 2B .0103 - Analytical Procedures 

No Response from Agency 

Agency Revised Rule 

Rule Returned to Agency 

Agency Filed Rule for Codification Over RRC Objection 
15 A NCAC 2B .0201 - Antidegradation Policy 

No Response from Agency 

Agency Responded 

Rule Returned to Agency 

Agency Filed Rule for Codification Over RRC Objection 



RRC Objection 


11/21/96 


RRC Objection 


11/21/96 


RRC Objection 


11/21/96 


RRC Objection 


07/18/96 


Obj. Cont'd 


08/15/96 


Obj. Cont'd 


09/19/96 


Obj. Cont'd 


09/19/96 


Eff 


10/01/96 


RRC Objection 


07/18/96 


Obj. Cont'd 


08/15/96 


Obj. Cont'd 


09/19/96 


Obj. Cont'd 


09/19/96 


Eff. 


10/01/96 


RRC Objection 


07/18/96 


Obj. Cont'd 


08/15/96 


Obj. Cont'd 


09/19/96 


Obj. Cont'd 


09/19/96 


Eff. 


10/01/96 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1514 



RULES REVIEW COMMISSION 



15 A NCAC 2B .0202 - Definitions- 
No Response from Agency 

Agency Revised Rule 

Rule Returned to Agency 

Agency Filed Rule for Codification Over RRC Objection 
15 A NCAC 2B .0229 - Tar Pamlico River Basin-Nutrient Sensitive Waters Mgmt Strategy 
15 A NCAC 2B .0231 - Wetland Standards (Rule .0231 was Noticed as Rule .0220) 

No Response from Agency 

Agency Responded 

Rule Returned to Agency 

Agency Filed Rule for Codification Over RRC Objection 
15 A NCAC 2H .0501 - Purpose 

No Response from Agency 

Agency Responded 

Rule Returned to Agency 

Agency Filed Rule for Codification Over RRC Objection 
15 A NCAC 2H .0502 - Application 

No Response from Agency 

Agency Responded 

Rule Returned to Agency 

Agency Filed Rule for Codification Over RRC Objection 
15 A NCAC 2H .0503 - Public Notice 

No Response from Agency 

Agency Responded 

Rule Returned to Agency 

Agency Filed Rule for Codification Over RRC Objection 
15 A NCAC 2H.0504 - Hearing 

No Response from Agency 

Agency Responded 

Rule Returned to Agency 

Agency Filed Rule for Codification Over RRC Objection 
15A NCAC 2H .0506 - Criteria for Review of Applications 

No Response from Agency 

Agency Revised Rule 

Rule Returned to Agency 

Agency Filed Rule for Codification Over RRC Objection 
15A NCAC 2H .0507 - Issuance of Certification 

No Response from Agency 

Agency Responded 

Rule Returned to Agency 

Agency Filed Rule for Codification Over RRC Objection 

Commission for Health Services 

15A NCAC J3C .0302 - General Provisions 

No Response from Agency 

Agency Revised Rule 
15 A NCAC 13C .0304 - Minimum Qualifications for Registered Env. Consultants 

No Response from Agency 

Agency Revised Rule 
15 A NCAC 13C .0306 - Technical Standards for Registered Environmental Consultants 

No Response from Agency 

Agency Revised Rule 



RRC Objection 




07/18/96 


Obj. Cont'd 




08/15/96 


Obj. Cont'd 




09/19/96 


Obj. Cont'd 




09/19/96 




Eff 


10/01/96 


RRC Objection 




11/21/96 


RRC Objection 




07/18/96 


Obj. Cont'd 




08/15/96 


Obj. Cont'd 




09/19/96 


Obj. Cont'd 




09/19/96 




Eff 


10/01/96 


RRC Objection 




07/18/96 


Obj. Cont'd 




08/15/96 


Obj. Cont'd 




09/19/96 


Obj. Cont'd 




09/19/96 




Eff 


10/01/96 


RRC Objection 




07/18/96 


Obj. Cont'd 




08/15/96 


Obj. Cont'd 




09/19/96 


Obj. Cont'd 




09/19/96 




Eff 


10/01/96 


RRC Objection 




07/18/96 


Obj. Cont'd 




08/15/96 


Obj. Cont'd 




09/19/96 


Obj. Cont'd 




09/19/96 




Eff 


10/01/96 


RRC Objection 




07/18/96 


Obj. Cont'd 




08/15/96 


Obj. Cont'd 




09/19/96 


Obj. Cont'd 




09/19/96 




Eff 


10/01/96 


RRC Objection 




07/18/96 


Obj. Cont'd 




08/15/96 


Obj. Cont'd 




09/19/96 


Obj. Cont'd 




09/19/96 




Eff. 


10/01/96 


RRC Objection 




07/18/96 


Obj. Cont'd 




08/15/96 


Obj. Cont'd 




09/19/96 


Obj. Cont'd 




09/19/96 




Eff 


10/01/96 


RRC Objection 




09/19/96 


Obj. Cont'd 




10/17/96 


Obj. Removed 




11/21/96 


RRC Objection 




09/19/96 


Obj. Cont'd 




10/17/96 


Obj. Removed 




11/21/96 


RRC Objection 




09/19/96 


Obj. Cont'd 




10/17/96 


Obj. Removed 




11/21/96 



Parks and Recreation Area Rules 



15A NCAC 12B . 1206 - Fees and Charges 



RRC Objection 



11/21/96 



1515 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



RULES REVIEW COMMISSION 



HUMAN RESOURCES 



Child Day Care Commission 



10 NCAC 3U .0102 - Definitions 




RRC Objection 


10/17/96 


Agency Revised Rule 




Obj. Removed 


11/21/96 


10 NCAC 3U . 0704 - Preservice Requirements for Administrators 




RRC Objection 


10/17/96 


Agency Revised Rule 




Obj. Removed 


11/21/96 


10 NCAC 3U .0710 - Preservice Requirements for Teachers and Aides 




RRC Objection 


10/17/96 


Agency Revised Rule 




Obj. Removed 


11/21/96 


10 NCAC 3U .2701 - Application for Permits 




RRC Objection 


10/17/96 


Agency Revised Rule 




Obj. Removed 


11/21/96 


10 NCAC 31J .2702 - Criminal Record Check Requirements for Child Care Providers 


RRC Objection 


10/17/96 


Agency Revised Rule 




Obj. Removed 


11/21/96 


10 NCAC 3U .2703 - Criminal Record Check Reqsfor Current Child Care Providers 


RRC Objection 


10/17/96 


Agency Revised Rule 




Obj. Removed 


11/21/96 


10 NCAC 3U .2704 - Criminal Record Check Reqsfor Nonregistered Home Providers 


RRC Objection 


10/17/96 


Agency Revised Rule 




Obj. Removed 


11/21/96 


Facility Services 








10 NCAC 3R .0305 - Filing Applications 








Rule Withdrawn by Agency 






10/17/96 


10 NCAC 3R .1003 - State Medical Facilities Plan 








Rule Withdrawn by Agency 






10/17/96 


10 NCAC 3R.1127- Required Staffing and Staff Training 








Rule Withdrawn by Agency 






10/17/96 


10 NCAC 3R .2410 - Information Required of Applicant 




RRC Objection 


10/17/96 


Agency Revised Rule 




Obj. Removed 


11/21/96 


10 NCAC 3R .2412 - Staffing and Staff Training 




RRC Objection 


10/17/96 


Agency Revised Rule 




Obj. Removed 


11/21/96 


10 NCAC 3R .2510 - Information Required of Applicant 




RRC Objection 


10/17/96 


Agency Revised Rule 




Obj. Removed 


11/21/96 


10 NCAC 3R .2512 - Staffing and Staff Training 




RRC Objection 


10/17/96 


Agency Revised Rule 




Obj. Removed 


11/21/96 


10 NCAC 3R .2612 - Information Required of Applicant 




RRC Objection 


10/17/96 


Agency Revised Rule 




Obj. Removed 


11/21/96 


10 NCAC 3R .3030 - Facility and Service Need Determinations 




RRC Objection 


10/17/96 


Agency Revised Rule 




Obj. Cont'd 


11/21/96 


10 NCAC 3R .3030 - Facility and Service Need Determinations 




RRC Objection 


11/21/96 


10 NCAC 3R . 3040 - Reallocations and Adjustments 




RRC Objection 


10/17/96 


Agency Revised Rule 




Obj. Removed 


11/21/96 


10 NCAC 3R .3050 - Policies 




RRC Objection 


10/17/96 


Agency Revised Rule 




Obj. Removed 


11/21/96 


Social Services Commission 








10 NCAC 41 P .0002 - Organization and Administration (Renumbered as 


.0102) 


RRC Objection 


11/21/96 


10 NCAC 41 P .0005 - Placement Services to Families and Children (Renumbered as .0105) RRC Objection 


11/21/96 


10 NCAC 41 P .0013 - Fees (Renumbered as .0113) 




RRC Objection 


11/21/96 


10 NCAC 42A . 0703 - Designated Agencies 




RRC Objection 


11/21/96 


10 NCAC 42C .2011 - Staff Competency and Training 




RRC Objection 


11/21/96 


10 NCAC 42C .2012 - Training Program Content and Approval 




RRC Objection 


11/21/96 


10 NCAC 42D . 1410 - Staff Competency and Training 




RRC Objection 


11/21/96 


10 NCAC 42D .1411 - Training Program Content and Approval 




RRC Objection 


11/21/96 


PUBLIC INSTRUCTION 








16 NCAC 7.0101 - Definitions 




RRC Objection 


11/21/96 


11:19 NORTH CAROLINA REGISTER 


January 2, 


1997 


1516 



RULES REVIEW COMMISSION 



16 NCAC 7 .0102 - General Information 

16 NCAC 7 .0103 - Exemptions from Certification Requirements of the Standards Board 

16 NCAC 7 .0104 - Program Reqs. for Certification As a Public School Administrator 

Rule Withdrawn by Agency 
16 NCAC 7 .0105 - Certification Patterns for Public School Administration 

Rule Withdrawn by Agency 
16 NCAC 7 .0106 - Standard Examinations 

Rule Withdrawn by Agency 
16 NCAC 7 .0107 - Certificate Renewal for Public School Administrators 

Rule Withdrawn by Agency 
16 NCAC 7 .0108 - Expired Certificates 

Rule Withdrawn by Agency 
16 NCAC 7 .0109 - Reciprocity in Certification 

Rule Withdrawn by Agency 
16 NCAC 7 .0110- Temporary Permit 

Rule Withdrawn by Agency 
16 NCAC 7 .0111 - Certificate Suspension and Re\>ocation 

Rule Withdrawn by Agency 
16 NCAC 7 .0112 - Criminal History Checks 

Rule Withdrawn by Agency 



RRC Objection 
RRC Objection 



11/21/96 
11/21/96 

11/21/96 

11/21/96 

11/21/96 

11/21/96 

11/21/96 

11/21/96 

11/21/96 

11/21/96 

11/21/96 



BOARD OF REFRIGERATION EXAMINERS 



21 NCAC 60 .0314 - Use of License 



RRC Objection 



11/21/96 



REVENUE 

17 NCAC 5C .0102 



Doing Business Defined 



RRC Objection 



11/21/96 



BOARD FOR LICENSING OF SOIL SCIENTISTS 

21 NCAC 69 .0102- Duties of Officers 

Agency Revised Rule 
21 NCAC 69 .0302 - Definitions 

Agency Revised Rule 
21 NCAC 69 .0303 - Requirements 

Agency Revised Rule 
21 NCAC 69 .0304 - Units 

Agency Revised Rule 
21 NCAC 69 .0305 - Determination of Credit 

Agency Revised Rule 
21 NCAC 69 .0307 - Exemptions 

Agency Revised Rule 
21 NCAC 69.0401 - Code of Professional Conduct 

Agency Revised Rule 
21 NCAC 69.0402 - Rules of Conduct of Advertising 

Agency Revised Rule 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



09/19/96 
10/17/96 
09/19/96 
10/17/96 
09/19/96 
10/17/96 
09/19/96 
10/17/96 
09/19/96 
10/17/96 
09/19/96 
10/17/96 
09/19/96 
10/17/96 
09/19/96 
10/17/96 



TRANSPORTATION 



Division of Motor Vehicles 

19A NCAC 3E .0511 - Registration of Interstate Authority 
Agency Revised Rule 



RRC Objection 
Obj. Removed 



09/19/96 
10/17/96 



1517 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



CONTESTED CASE DECISIONS 



J his Section contains thefidl text of some of the more significant Administrative Law Judge decisions along with an index 
to all recent contested cases decisions which are filed under North Carolina 's Administrative Procedure Act. Copies of 
the decisions listed in the index and not published are available upon request for a minimal charge by contacting the Office 
of Administrative Hearings, (919) 733-2698. 



OFFICE OF ADMINISTRATrVE HEARINGS 

Chief Administrative Law Judge 
JULIAN MANN, HI 

Senior Administrative Law Judge 
FRED G. MORRISON JR. 

ADMINISTRATIVE LAW JUDGES 



Brenda B. Becton 
Sammie Chess Jr. 
Beecher R. Gray 
Meg Scott Phipps 



Robert Roosevelt Reilly Jr. 
Dolores O. Smith 
Thomas R. West 



AGENCY 



CASE 
NUMBER 



AL.I 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



ADMINISTRATION 

Douglas J. Register v. Department of Administration 

Purchase and Contract 

Budd Seed, Inc. v. Department of Administration 

ALCOHOLIC BEVERAGE CONTROL COMMISSION 

Osama Arafat Sadar v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Commission v. James Eads Sprowles 
Cole Entertainment, Inc. v. Alcoholic Beverage Control Commission 
Fuad Saif Murshed v. Ale. Bev. Ctl. Comm. & Durham Mem. Bapt. Ch. 
Alcoholic Beverage Control Commission v. Tremik, Inc. 
City of Raleigh v. Alcoholic Beverage Control Commission 

and 
Marshall Stewart, IH, Robert David Park, and Park Stewart Inc. 
Alcoholic Beverage Control Commission v. Maria Virginia Tramontano 
Alcoholic Beverage Control Commission v. Huffman Oil Co., Inc. 
Pinakin P. Talate v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Commission v. Entrepreneur, Inc. 
Alcoholic Beverage Control Commission v. Zell, Inc. 
Alcoholic Beverage Control Commission v. Henry Franklin Gurganus 
Andrew Parker v. Alcoholic Beverage Control Commission 
Barraq Sabri Alquza v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Comm. v. Partnership T/A T & L Groceries 
Alcoholic Beverage Control Commission v. Cashion's Food Mart, Inc. 
Alcoholic Beverage Control Commission v. E.K.'s U, Inc. Carl E. Collins 
Bro Bee, Inc. v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Commission v. Donald Ray Doak 
Alcoholic Beverage Control Commission v. Janice Lorraine Jeter 
Alcoholic Beverage Control Commission v. Well Informed, Inc. 
Alcoholic Beverage Control Commission v. Kubbard, Inc. 
Alcoholic Beverage Control Commission v. Stemmermans's, Inc. 



96DOA0172 



96DOA0281 



Reilly 



Chess 



08/16/96 



09/19/96 



95 ABC 0721 


Gray 


07/09/96 




95 ABC 0883* 7 


Gray 


07/10/96 




95 ABC 0917 


West 


08/21/96 


11:12 NCR 1027 


95 ABC 0922 


Chess 


04/24/96 




95 ABC 0925 


Morrison 


03/25/96 




95 ABC 1143 


Morrison 


11/08/96 


11:17 NCR 1362 


95 ABC 1200 


West 


04/23/96 




95 ABC 1251 


West 


04/03/96 


11:03 NCR 166 


95 ABC 1329 


West 


04/10/96 




95 ABC 1363 


Reilly 


05/02/96 




95 ABC 1366 


West 


06/17/96 




95 ABC 1389 


West 


04/01/96 




95 ABC 1402 


Phipps 


03/27/96 




95 ABC 1424 


Phipps 


04/03/96 




95 ABC 1443 


West 


03/26/96 




95 ABC 1444 


Gray 


03/13/96 




95 ABC 1458 


Chess 


08/12/96 




95 ABC 1480 


West 


04/15/96 




95 ABC 1488 


West 


03/29/96 




96 ABC 0013 


Reilly 


04/26/96 




96 ABC 0016 


Chess 


05/28/96 




96 ABC 0017 


Reilly 


05/20/96 




96 ABC 0018 


Chess 


05/28/96 





11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1518 



CONTESTED CASE DECISIONS 



AGENCY 



George Wright and Alice Ramsuer v. Alcoholic Beverage Control Comm. 

Alcoholic Beverage Control Commission v. Bayron Green 

Alcoholic Beverage Control Commission v. Circle K Stores, Inc. 

Alcoholic Beverage Control Commission v. Robert Montgomery McKnight 

Alcoholic Beverage Control Commission v. Cadillacs Discotheque, Inc. 

Gerald Audry Sellars v. Alcoholic Beverage Control Commission 

Alcoholic Beverage Control Commission v. Jacqueline Robin Anthony 

Alcoholic Beverage Control Commission v. Factory Night Club, Inc. 

Alcoholic Beverage Control Commission v. C.N.H. Enterprises, Inc. 

Alcoholic Beverage Control Commission v. Millicent J. Green 

Ghassan Hasan Issa v. Alcoholic Beverage Control Commission 

Alcoholic Beverage Control Commission v. Abdelhakeem Muraweh Saleh 

Alcoholic Beverage Control Commission v. Triangle Drive-in 

Alcoholic Beverage Control Commission v. Beroth Oil Company 

Alcoholic Beverage Control Commission v. Beroth Oil Company 

Alcoholic Beverage Control Commission v. Beroth Oil Company 

Alcoholic Beverage Control Commission v. 

Alcoholic Beverage Control Commission v. 

Alcoholic Beverage Control Commission v. 

Alcoholic Beverage Control Comm. v. Crown Central Petroleum Corp. 

Dilthra Smith Patton v. Alcoholic Beverage Control Commission 

Virginia Caporal v. Alcoholic Beverage Control Commission 

Alcoholic Beverage Control Commission v. James Eads Sprowles 

Alcoholic Beverage Control Commission v. Chae Ypo Chong 

Alcoholic Beverage Control Commission v. Albert S. Carter 

Alcoholic Beverage Control Commission v. Taleb Abed Rahman 

Alcoholic Beverage Control Comm. v. Centergrove Entertainment Ent. 

Joseph Marcel Etienne v. Alcoholic Beverage Control Commission 

Alcoholic Beverage Control Commission v. Jesse Smith 

Alcoholic Beverage Control Commission v. Winn Dixie Charlotte, Inc. 

Alcoholic Beverage Control Commission v. Winn Dixie Charlotte, Inc. 

Louis Corpening v. Alcoholic Beverage Control Commission 

Alcoholic Beverage Control Commission V. Joyce N. Capra 

HARB Inc. v. Alcoholic Beverage Control Commission 

Alcoholic Beverage Control Commission v. Ptnrshp.,T/A Blue Front Groc. 



Beroth Oil Company 

Giles Rozier 

Clifton Franklin Smith 



CASE 




DATE OF 


NUMBER 


AL.I 


DECISION 


96 ABC 0058 


Becton 


04/16/96 


96 ABC 0097 


Becton 


08/23/96 


96 ABC 0134 


Gray 


11/06/96 


96 ABC 0135 


Phipps 


05/09/96 


96 ABC 0136 


Phipps 


12/04/96 


96 ABC 0160 


Becton 


06/25/96 


96 ABC 0184 


Phipps 


05/09/96 


96 ABC 0226 


Phipps 


08/02/96 


96 ABC 0232 


Becton 


07/09/96 


96 ABC 0234 


Smith 


06/13/96 


96 ABC 0256 


Morrison 


05/23/96 


96 ABC 0381 


Chess 


08/27/96 


96 ABC 0443 


Reilly 


06/11/96 


96 ABC 0447 


Morrison 


08/30/96 


96 ABC 0448 


Morrison 


08/30/96 


96 ABC 0449 


Morrison 


08/30/96 


96 ABC 0450 


Morrison 


08/30/96 


96 ABC 0473 


Morrison 


09/19/96 


96 ABC 0474 


Reilly 


08/12/96 


96 ABC 0482 


Morrison 


10/18/96 


96 ABC 0505 


Morrison 


08/06/96 


96 ABC 0507 


Becton 


10/04/96 


96 ABC 0526* 7 


Gray 


07/10/96 


96 ABC 0530 


Morrison 


10/29/96 


96 ABC 0534 


Morrison 


08/05/96 


96 ABC 0551 


West 


11/14/96 


96 ABC 0583 


Reilly 


08/12/96 


96 ABC 0718 


Phipps 


10/17/96 


96 ABC 0804 


Gray 


11/19/96 


96 ABC 0858 


Morrison 


11/21/96 


96 ABC 0859 


Morrison 


11/21/96 


96 ABC 0985 


Gray 


09/26/96 


96 ABC 1060 


Reilly 


11/15/96 


96 ABC 1124 


Phipps 


10/23/96 


96 ABC 1469 


Smith 


12/09/96 



PUBLISHED DECISION 
REGISTER CITATION 



11:08 NCR 564 



11:13 NCR 1085 



COMMISSION FOR AUCTIONEERS 



John W. Foster v. Auctioneer Licensing Board 
Barry' G. York v. Auctioneer Licensing Board 



96CFA0201 
96 CFA 0297 



Phipps 
Smith 



05/06/96 
10/18/96 



DEPARTMENT OF CORRECTION 



James J. Lewis v. Department of Correction 
CRIME CONTROL AND PUBLIC SAFETY 



96 DOC 0772 



West 



09/05/96 



Roland Lee Kelly, Jr. v. United Family Services, Victim Assistance/Crime 

Victims Compensation Comm. 
Robert F. Bronsdon v. Crime Victims Compensation Commission 
Helen B. Hunter-Reid v. Crime Victims Compensation Commission 
Deborah C. Passarelli v. Crime Victims Compensation Commission 
Kenneth Saunders v. Victims Compensation Commission 
Franklin McCoy Jones v. Crime Victims Compensation Commission 
Ruby H. Ford v. Crime Victims Compensation Commission 
Manuel Cervantes v. Victims Compensation Fund 
Sheila Carol Blake v. Victims Compensation Commission 
James T. Mungo v. Victims Compensation Commission 
Jerome Crutchfield v. CPS, Victims Compensation Commission 
William Theodore Frazier v. Crime Victims Compensation Commission 
Emma Coble v. Crime Victims Compensation Commission 
Donna Williams v. Crime Victims Compensation Commission 
Daisy Reid v. Crime Victims Compensation Commission 
Anthony P. Dawkins v. Crime Victims Compensation Commission 
Judy Worley Milam v. Crime Victims Compensation Commission 
Shirley M. King v. Crime Victims Compensation 

Mark Matthews for Child Victim v. Crime Victims Compensation Comm. 
Clara Durham v. Victims Compensation 
David Carl Anderson v. Crime Victims Compensation Commission 



95 CPS 0568 


Morrison 


05/29/96 




95 CPS 1216 


Chess 


05/28/96 




95 CPS 1336 


Smith 


03/29/96 


11:02 NCR 93 


95 CPS 1399 


Reiily 


07/18/96 


11:09 NCR 814 


95 CPS 1445 


Chess 


03/26/96 




96 CPS 0056 


Smith 


07/03/96 




96 CPS 0110 


Reilly 


04/18/96 




96 CPS 0118 


Chess 


03/19/96 




96 CPS 0280 


West 


07/10/96 




96 CPS 0333 


Reilly 


07/09/96 




96 CPS 0340 


Phipps 


09/05/96 




96 CPS 0435 


Chess 


08/22/96 




96 CPS 0468 


Chess 


09/25/96 




96 CPS 0493 


Morrison 


06/13/96 




96 CPS 0499 


West 


11/18/96 




96 CPS 0716 


Reilly 


08/16/96 




96 CPS 0717 


Gray 


11/21/96 




96 CPS 0802 


West 


08/08/96 




96 CPS 0832 


Becton 


08/20/96 




96 CPS 0906 


Phipps 


09/23/96 




96 CPS 1409 


Smith 


11/25/96 





ENVIRONMENT. HEALTH, AND NATURAL RESOURCES 



Gribble & Assoc. &. Four Seasons Car Wash v. EHNR 



95 EHR 0576 



Gray 



04/25/96 



1519 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



CONTESTED CASE DECISIONS 



AGENCY 



Wilton Evans v. Environment, Health, & Natural Resources 

David Martin Shelton v. Rockingham County Dept/Public Health, EHNR 

Kinston Urological Associates, P.A. v. N.C. Cancer Program 

Kinston Urological Associates, P.A. v. N.C. Cancer Program 

Elsie & Tony Cecchini v. Environment, Health, & Natural Resources 

United Organics Corporation v. Environment, Health, & Natural Res. 

Gerald Mac Clamrock v. Environment, Health, & Natural Resources 

John Milazzo v. Environment, Health, & Natural Resources 

Wayne Marshall, Pres. Metro Area Dev., Inc. v. EHNR 

David J. Mohn v. Environment, Health, & Natural Resources 

Joseph London v. Environment, Health, and Natural Resources 



CASE 




DATE OF 


PUBLISHED DECISION 


NUMBER 


ALJ 


DECISION 


REGISTER CITATION 


95 EHR 0843 


Reilly 


07/17/96 




95EHR0941 


West 


05/01/96 




95 EHR 1198* 2 


Smith 


03/27/96 


11:02 NCR 97 


95 EHR 1199* 2 


Smith 


03/27/96 


11:02 NCR 97 


95 EHR 1240 


Reilly 


04/22/96 




96 EHR 0064 


Smith 


07/01/96 




96 EHR 0168 


Phipps 


05/06/96 




96 EHR 0644 


Reilly 


08/13/96 




96 EHR 0826 


West 


10/01/96 




96 EHR 0947 


Smith 


10/04/96 




96 EHR 1397 


Reilly 


12/10/96 





Coastal Resources 



Martin W. Synger v. Division of Coastal Management 95 EHR 1006 

J. E. Smith Construction Co. v. Division of Coastal Management 96 EHR 0074 

Theodore D. Barris v. Town of Long Beach, NC & Coastal Mgmt, EHNR 96 EHR 0277 



Chess 


05/13/96 


Smith 


02/23/96 


West 


05/09/96 



Environmental Health 



Forest Gate Motel v. Environment, Health, and Natural Resources 96 EHR 0076 West 

Paradise Ridge Home Owners by Anne Norburn v. EHNR, Env. Health 96 EHR 0162 Phipps 



06/17/96 
05/06/96 



Environmental Management 

Frank A. Corriher & Sons Well Drilling, Inc. v. Env. Mgmt., EHNR 
Herman E. Smith v. Division of Environmental Management 
Conover Lumber Co., Inc. v. EHNR, Division of Environmental Mgmt. 
City of Reidsville, a Municipal Corp. v. EHNR, Environmental Mgmt. 
Jack West d/b/a Jack West Tree Service v. Environmental Mgmt. Comm. 
The Smithfield Packing Co., Inc., v. EHNR, Environmental Mgmt. 
and 
Citizens for Clean Industry, Inc. and Bladen Environment 
Stephen L. Reedy v. EHNR, Division of Environmental Management 
Rayco Utilities, Inc. v. EHNR, Division of Environmental Management 
Clover M Farms, Inc. v. EHNR, Division of Environmental Management 
Providence Glen Associates v. Environmental Management, EHNR 
Overcash Gravel & Grading Co., Inc. v. Division of Environmental Mgmt 



95 EHR 0048 


Phipps 


09/20/96 


11:14 NCR 1191 


95 EHR 0962 


West 


04/30/96 




95 EHR 1081 


Reilly 


04/12/96 




95 EHR 1335 


Gray 


10/01/96 


11:15 NCR 1249 


95 EHR 1421 


Morrison 


04/08/96 




95 EHR 1474 


West 


07/03/96 




96 EHR 0181 


Gray 


12/16/96 




96 EHR 0367 


Becton 


10/04/96 




96 EHR 0405 


Becton 


06/10/96 




96 EHR 0648 


Becton 


08/12/96 




96 EHR 0990 


West 


10/29/96 





Land Resources 



K&G Properties, Inc. v. EHNR, Division of Land Resources 
Marine Fisheries 



95 EHR 1078 



Smith 



03/25/96 



Robert I. Swinson, Sr. v. EHNR, Health & Nat. Res., Marine Fisheries 
Grayden L. Fulcher and Michael Styron, Sr. v. Div. of Marine Fisheries 
Johnny R. Stotesberry v. Marine Fisheries Commission 
Julian G. Gilgo v. Environment, Health, and Natural Resources 
Radiation Protection 

Marsha L. Powell v. EHNR, Division of Radiation Protection 
Nancy S. Webb v. EHNR, Division of Radiation Protection 



95 EHR 0320 


Chess 


03/29/96 


11:03 NCR 


168 


96 EHR 0003 


Reilly 


03/06/96 






96 EHR 0072 


Gray 


08/19/96 


11:11 NCR 


955 


96 EHR 0692 


West 


12/06/96 


11:19 NCR 


1530 


96 EHR 1116 


Smith 


10/10/96 






96 EHR 1131 


Gray 


10/23/96 







Solid Waste Management 



R. Donald Phillips v. EHNR, Solid Waste Management Division 95 EHR 1 190* 4 

R. Donald Phillips v. EHNR, Solid Waste Management Division 96 EHR 0554* 4 

GRACE and Margaret L. Caudle-Beck v. EHNR, Solid Waste Management 96 EHR 1 125 



Gray 


05/22/96 


Gray 


05/22/96 


Phipps 


12/06/96 



W1C Program 

Lazelle Marks v. EHNR, Division of Maternal and Child Health 
Hani Sader v. Nutrition Services, Div/Maternal & Child Health, EHNR 
Bob's Quick Mart, Bobby D. Braswell v. Env., Health, & Natural Res. 
Larry E. Mis v. USDA-Food/Cons Svc, Cory Menees-WIC Prog., EHNR 
Naser H. Hammad v. Dept. of Environment, Health, & Natural Resources 
Jamil M. Saleh v. Dept. of Environment, Health, & Natural Resources 
Khaled M. Alzer v. Dept. of Environment, Health, & Natural Resources 

EQUAL EMPLOYMENT OPPORTUNITIES 



95 EHR 0870 


West 


03/27/96 


96 EHR 0054 


West 


05/22/96 


96 EHR 0091 


Smith 


04/02/96 


96 EHR 0164 


Phipps 


03/19/96 


96 EHR 0632 


Reilly 


07/09/96 


96 EHR 0634 


Phipps 


09/04/96 


96 EHR 0721 


Reilly 


07/30/96 



Marsha Dianne McKoy v. DHR, DMH/DD/SAS, Caswell Center 



90 EEO 0379 



Chess 



10/08/96 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1520 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



AL.T 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



Carl D. Davis v. Department of Correction 

HUMAN RESOURCES 

Cassandra M. Deshazo v. Christine E. Carroll, Chf Chid Abuse/Neg. Sec. 
Medicus Robinson v. Department of Human Resources 

Division of Child Development 

Molly Fallin v. Department of Human Resources 
Molly Fallin v. Department of Human Resources 
Mary T. Hill v. DHR, Division of Child Development 
Iola Roberson v. DHR, Division of Child Development 
Zannie M. Allen v. DHR, Division of Child Development 
ML Pleasant Church v. DHR, Division of Child Development 
Yvette Nivens v. DHR, Division of Child Development 

Division of Facility Services 

Eloise Brown v. Dept. of Human Resources, Division of Facility Services 
Harry Martin Bastian v. DHR, Division of Facility Services 
Community Care tfl v. DHR, Division of Facility Services 
Community Care HA v. DHR, Division of Facility Services 
Jo Ann Boyd Capps v. DHR, Division of Facility Services 

Certificate of Need Section 

Nash Hospitals, Inc. v. DHR, Div/Facility Services, Cert, of Need Sect. 
Pitt Cry Mem. Hospital, Inc. v. DHR, Div/Facility Sries, Cert/Need Sect. 

Group Care Licensure Section 

Alex L. McCall v. DHR, Div/Facility Svcs, Group Care Licensure Sec. 
DHR, Facility Services, Group Care Licensure Sect. v. Petrova Evans 
Leola Barnes, Shaw Family Care v. DHR, Fac. Svcs, Group Care Lie. 
Gracelane Rest Home v. Group Care Lie. Section, Div. of Soc. Svcs. 

Medical Facilities Licensure Section 



91 EEO !101 



95 DHR 1410 

96 DHR 0167 



Smith 



Phipps 
Smith 



95 DHR 1176* 5 
95 DHR 1177* 5 



Phipps 
Phipps 



95 DHR 1456 Smith 

96 DHR 0544 Phipps 
96 DHR 0626 West 
96 DHR 0944 Becton 



05/06/96 



03/28/96 
04/12/96 



94 DHR 0872* 3 


Gray 


05/15/96 


95 DHR 1013* 5 


Gray 


05/15/96 


95 DHR 1192 


Phipps 


03/27/96 


95 DHR 1244 


Gray 


05/16/96 


96 DHR 0304 


Gray 


08/15/96 


96 DHR 0720 


Gray 


11/19/96 


96 DHR 1161 


Morrison 


11/19/96 



95 DHR 1002 


Phipps 


03/07/96 


96 DHR 0287 


West 


08/21/96 


96 DHR 0934 


Becton 


10/16/96 


96 DHR 0935 


Becton 


10/16/96 


96 DHR 1115 


Gray 


12/12/96 



05/23/96 
05/23/96 



03/26/96 
08/21/96 
10/01/96 
10/16/96 



11:06 NCR 
11:06 NCR 



389 
389 



Deborah Reddick v. Department of Human Resources 

Stacey Yvette Franklin v. Facility Services, Medical Facilities Lie. Sec. 

Division of Medical Assistance 

Judy Malcuit, Re Melissa Malcuit v. DHR, Div. of Medical Assistance 
Durham Reg. Hsptl, Behavioral Hlth Svcs. v. Medical Assistance, DHR 
Jerry Heath v. DHR, Division of Medical Assistance 

Division of Social Services 

Crystean Fields v. Department of Human Resources 

Rozena Chambliss v. Department of Human Resources 

Addie &. Major Short v. Department of Human Resources 

Mr. and Mrs. Jessie Stevenson v. DHR, Division of Social Services 

William G. Fisher v. DHR, Div. of Social Services, Prog Integrity Branch 

Vcrna F. Nunn v. Department of Human Resources 

Nancy Hooker, Helen Tyndall v. Department of Human Resources 

Monica Ferrari and Justin Ferrari v. Pender County DSS 

Monica Ferrari and Justin Ferrari v. New Hanover County DSS 

Child Support Enforcement Section 

Donald E. Rideout Jr. v. Department of Human Resources 
Christopher F. Roakes v. Department of Human Resources 
Claude Eure Jr. v. Department of Human Resources 
Richard R. Fox, Sr. v. Department of Human Resources 
Joselito D. Pilar v. Department of Human Resources 
David Lee Grady v. Department of Human Resources 
Patrick Orlando Crump v. Department of Human Resources 
Peter Robert Kovolsky v. Department of Human Resources 
Tony Lee Zapata v. Department of Human Resources 
Lawrence Dow Dean v. Department of Human Resources 
Carl E. Coffey v. Department of Human Resources 



96 DHR 0240 
96 DHR 0358 



Reilly 
Morrison 



06/18/96 
05/16/96 



96 DHR 0129 


Gray 


06/12/96 


96 DHR 0637 


West 


09/20/96 


96 DHR 0752 


Chess 


10/07/96 



95 DHR 1001 


Gray 


07/05/96 


95 DHR 1044 


Smith 


03/12/96 


95 DHR 1063 


Morrison 


03/19/96 


95 DHR 1072 


Phipps 


03/15/96 


95 DHR 1234 


Morrison 


03/19/96 


95 DHR 1330 


Gray 


04/11/96 


96 DHR 0155 


Gray 


04/26/96 


96 DHR 1425 


Morrison 


12/13/96 


96 DHR 1471 


Morrison 


12/13/96 



95 CSE 0952 


Reilly 


04/18/96 


95CSE 1131 


Becton 


05/03/96 


95 CSE 1155 


Phipps 


06/12/96 


95 CSE 1169 


Becton 


03/19/96 


95 CSE 1180 


Chess 


03/01/96 


95 CSE 1218 


Morrison 


03/26/96 


95 CSE 1221 


Smith 


03/05/96 


95 CSE 1230 


Becton 


03/11/96 


95 CSE 1266 


Gray 


05/02/96 


95 CSE 1267 


Morrison 


03/29/96 


95 CSE 1270 


Smith 


03/15/96 



1521 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



CONTESTED CASE DECISIONS 



AGENCY 



Keith Dewayne Senters v. Department of Human Resources 
Lonnie Dawes v. Department of Human Resources 
Mickey Turner v. Department of Human Resources 
James Joseph Gallagher v. Department of Human Resources 
James Thomas McRae v. Department of Human Resources 
Vincent E. Koehler v. Department of Human Resources 
David J. Moseley v. Department of Human Resources 
Derrick L. Conyers v. Department of Human Resources 
Charles Edward Smith v. Department of Human Resources 
Kevin Vereen v. Department of Human Resources 
James Curtis Witwer v. Department of Human Resources 
Thornell Bowden v. Department of Human Resources 
Herbert W. Donahue Jr. v. Department of Human Resources 
Henry S. Sada v. Department of Human Resources 
Charles F. Moore v. Department of Human Resources 
Daniel Leslie Baker v. Department of Human Resources 
Kenneth L. Lindsey v. Department of Human Resources 
John L. Pike v. Department of Human Resources 
Wm. R. Evans v. Department of Human Resources 
Rory J. Curry v. Department of Human Resources 
Lorin A. Brown v. Department of Human Resources 
Marcus Anthony Butts v. Department of Human Resources 
Cynthia Pinder v. Department of Human Resources 
Rhonnie J. Williams v. Department of Human Resources 
Ramon Domenech v. Department of Human Resources 
Lennard J. Watson v. Department of Human Resources 
Timothy R. Brewer, Sr. v. Department of Human Resources 
Dennis L. McNeill v. Department of Human Resources 
Tony A. Rogers v. Department of Human Resources 
Rick E. Atkins v. Department of Human Resources 
Timothy A. Ratley (Jeanes) v. Department of Human Resources 
Richard E. Reader v. Department of Human Resources 
Wendel McDonald v. Department of Human Resources 
Wilbur Dewayne Bautt v. Department of Human Resources 
Reginald B. Bratton Sr. v. Department of Human Resources 
James C. Smith v. Department of Human Resources 
Ronald D. Johnson v. Department of Human Resources 
Johnny Leary v. Department of Human Resources 
Jimmy Strickland v. Department of Human Resources 
John W. Scott v. Department of Human Resources 
Calvin S. Austin v. Department of Human Resources 
Derek Henslee v. Department of Human Resources 
Donald L. Carr, Jr. v. Department of Human Resources 
Norman Waycaster v. Department of Human Resources 
Andre Duncan v. Department of Human Resources 
Lorenzo Wilson v. Department of Human Resources 
Mark Kevin Burns v. Department of Human Resources 
Cyril Lloyd Payne v. Department of Human Resources 
Charles H. Johnson v. Department of Human Resources 
Willie James Myers v. Department of Human Resources 
Christopher F. Byrne v. Department of Human Resources 
Richard Painall Burch v. Department of Human Resources 
Charles Gillispie v. Department of Human Resources 
Teresa Reynolds v. Department of Human Resources 
Thornell Bowden v. Department of Human Resources 
Kenneth Edward Burns v. Department of Human Resources 
Carl R. Ritter v. Department of Human Resources 
William Charles Rorie v. Department of Human Resources 
Leon Gibson v. Department of Human Resources 
Dioni Delvalle, II v. Department of Human Resources 
Gerald Roger Beachum Jr. v. Department of Human Resources 
Anderson I. Wardlow v. Department of Human Resources 
Daniel J. Carter v. Department of Human Resources 
Kelvin Tarlton v. Department of Human Resources 
Steven Craig Mooney v. Department of Human Resources 
John L. Cherry Jr. v. Department of Human Resources 
Arthur Jemerson v. Department of Human Resources 
Michael S. Covington v. Department of Human Resources 
Gary Steele v. Department of Human Resources 
Terry Sealey v. Department of Human Resources 
Jackie L. Kopczick v. Department of Human Resources 
Virginia McDowell Ramsey v. Department of Human Resources 
D. Wayne Gray v. Department of Human Resources 



CASE 




DATE OF 


PUBLISHED DECISION 


NUMBER 


ALJ 


DECISION 


REGISTER CITATION 


95 CSE 1273 


Phipps 


04/01/96 




95 CSE 1274 


Smith 


06/12/96 




95 CSE 1278 


Smith 


03/14/96 




95 CSE 1280 


Chess 


03/19/96 




95 CSE 1296 


Chess 


03/15/96 




95 CSE 1301 


Phipps 


05/09/96 




95 CSE 1304 


Chess 


03/29/96 




95 CSE 1308 


Reilly 


03/13/96 




95 CSE 1309 


West 


03/07/96 




95 CSE 1315 


Phipps 


05/06/96 




95 CSE 1331 


Becton 


03/26/96 




95 CSE 1345 


Morrison 


03/07/96 




95 CSE 1346 


Reilly 


11/15/96 




95 CSE 1367 


Smith 


03/21/96 




95 CSE 1369 


Chess 


03/27/96 




95 CSE 1373 


Morrison 


03/12/96 




95 CSE 1375 


West 


06/24/96 




95 CSE 1376 


Smith 


03/21/96 




95 CSE 1377 


Becton 


03/11/96 




95 CSE 1380 


Mann 


03/15/96 




95 CSE 1382 


Reilly 


04/18/96 




95 CSE 1405 


Smith 


03/27/96 




95 CSE 1406 


Becton 


03/11/96 




95 CSE 1407 


Chess 


05/06/96 




95 CSE 1408 


Phipps 


03/11/96 




95 CSE 1414 


Mann 


08/23/96 




95 CSE 1433 


West 


12/10/96 




95 CSE 1435 


Becton 


03/13/96 




95 CSE 1436 


Chess 


05/16/96 




95 CSE 1437 


Phipps 


04/01/96 




95 CSE 1465 


Morrison 


03/26/96 




95 CSE 1469 


Smith 


04/29/96 




95 CSE 1470 


Becton 


07/29/96 




95 CSE 1475 


West 


03/13/96 




96 CSE 0002 


Mann 


08/23/96 




96 CSE 0034 


Gray 


05/10/96 




96 CSE 0084 


Smith 


03/27/96 




96 CSE 0085 


Becton 


05/03/96 




96 CSE 0119 


Chess 


07/08/96 




96 CSE 0130 


Mann 


03/15/96 




96 CSE 0140 


Phipps 


05/17/96 




96 CSE 0188 


Reilly 


05/17/96 




96 CSE 0200 


West 


05/30/96 




96 CSE 0245 


Becton 


05/16/96 




96 CSE 0249 


Chess 


09/25/96 




96 CSE 0257 


Phipps 


05/06/96 




96 CSE 0271 


Morrison 


06/24/96 




96 CSE 0272 


Reilly 


05/31/96 




96 CSE 0295 


West 


07/15/96 




96 CSE 0299 


Becton 


07/19/96 




96 CSE 0336 


Chess 


06/26/96 




96 CSE 0339 


Phipps 


06/27/96 




96 CSE 0365 


Mann 


07/23/96 




96 CSE 0369 


Gray 


07/23/96 




96 CSE 0370 


Morrison 


05/17/96 




96 CSE 0379 


Reilly 


07/18/96 




96 CSE 0380 


West 


05/08/96 




96 CSE 0388 


Smith 


08/01/96 




96 CSE 0389 


Becton 


07/02/96 




96 CSE 0407 


Chess 


07/17/96 




96 CSE 0411 


Phipps 


06/24/96 




96 CSE 0412 


Mann 


08/05/96 




96 CSE 0417 


Gray 


06/24/96 




96 CSE 0424 


Morrison 


05/29/96 




96 CSE 0425 


Reilly 


07/08/96 




96 CSE 0426 


West 


06/24/96 




96 CSE 0427 


Smith 


08/01/96 




96 CSE 0428 


Becton 


08/02/96 




96 CSE 0429 


Chess 


08/26/96 




96 CSE 0430 


Phipps 


05/29/96 




96 CSE 0431 


Mann 


06/05/96 




96 CSE 0464 


Gray 


08/02/96 




96 CSE 0465 


Morrison 


08/02/96 





11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1522 



CONTESTED CASE DECISIONS 



AGENCY 



Claude R. Anderson v. Department of Human Resources 

Alan Kendell Locklear v. Department of Human Resources 

Douglas F. McBryde v. Department of Human Resources 

Thomas White v. Department of Human Resources 

James Trevor Emerson v. Department of Human Resources 

Ray Davis Hood v. Department of Human Resources 

Leon McNair v. Department of Human Resources 

John William White v. Department of Human Resources 

Hazel L. Walker v. Department of Human Resources 

Tayloria Y. Manns v. Department of Human Resources 

Carl S. McNair v. Department of Human Resources 

David Agurs v. Department of Human Resources 

King Sanders Jr. v. Department of Human Resources 

Sandra Kay Carpenter v. Department of Human Resources 

Christopher Clyde Barrino Jr. v. Department of Human Resources 

Clinton Sutton v. Department of Human Resources 

Dave L. James v. Department of Human Resources 

Jonathan Bernard Copper v. Department of Human Resources 

Lisa Privette v. Department of Human Resources 

Franklin D. Deese v. Department of Human Resources 

Jan Smith Osborne v. Department of Human Resources 

Mark Allen Rose Sr. v. Department of Human Resources 

Mark P. Crosby v. Department of Human Resources 

Bernard D. Brothers v. Department of Human Resources 

Renee G. Arriola v. Department of Human Resources 

Isaac Massey Jr. v. Department of Human Resources 

Darryl Leon White v. Department of Human Resources 

Philip Purnell v. Department of Human Resources 

Edwin Southards v. Department of Human Resources 

Mary Vanover v. Department of Human Resources 

Cabot S. Pollard v. Department of Human Resources 

Johnnie B. Walton v. Department of Human Resources 

Timothy P. Ruth v. Department of Human Resources 

Thomas Lee Glenn v. Department of Human Resources 

Randy Dale Finnicum v. Department of Human Resources 

Washington J. James, JJI v. Department of Human Resources 

Tommy R. Thompson v. Department of Human Resources 

Anthony Bernard Crawford v. Department of Human Resources 

Harry J. Cook v. Department of Human Resources 

Jethero Davidson Jr. v. Department of Human Resources 

Wilbert J. Boykin v. Department of Human Resources 

Raymond G. Molina v. Department of Human Resources 

Marion A. Ward v. Department of Human Resources 

Robin G. Staten v. Department of Human Resources 

Edward F. Murphy v. Department of Human Resources 

Robert A. Green v. Department of Human Resources 

Charlie Thomas Smith v. Department of Human Resources 

Reginald A. Barnes v. Department of Human Resources 

John William Vestal Sr. v. Department of Human Resources 

Charles F. Haag, Jr. v. Department of Human Resources 

Walter Richardson, Jr. v. Department of Human Resources 

Scott Sanders v. Department of Human Resources 

Mark Stephens v. Department of Human Resources 

Jeffrey Len Ezzell v. Department of Human Resources 

Tessa Jones v. Department of Human Resources 

John G. Howard, Jr. v. Department of Human Resources 

Gregory B. Phy v. Department of Human Resources 

Robert A. Green v. Department of Human Resources 

George D. Brickell v. Department of Human Resources 

Melinda S. Tunner v. Department of Human Resources 

Jeanne G. Bishop v. Department of Human Resources 

Rebecca Beaver v. Department of Human Resources 

Vivian B. White v. Department of Human Resources 

Mary R. Mahon v. Department of Human Resources 

Mary R. Mahon v. Department of Human Resources 

Laura Heidorf v. Department of Human Resources 

Lois Floyd Barber v. Department of Human Resources 

La Rue Herring v. Department of Human Resources 

Debra D. Hammonds v. Department of Human Resources 

Vickie Osoria v. Department of Human Resources 

Trine P. Bollinger v. Department of Human Resources 



CASE 




DATE OF 


PUBLISHED DECISION 


NUMBER 


ALJ 


DECISION 


REGISTER citation 


96 CSE 0502 


Reilly 


07/22/96 




96 CSE 0503 


West 


05/30/96 




96 CSE 0518 


Becton 


08/19/96 




96 CSE 0519 


Chess 


08/29/96 




96 CSE 0545 


Phipps 


07/25/96 




96 CSE 0547 


Mann 


09/12/96 




96 CSE 0557 


Morrison 


08/08/96 




96 CSE 0558 


Reilly 


08/14/96 




96 CSE 0559 


West 


06/24/96 




96 CSE 0564 


Smith 


08/15/96 




96 CSE 0568 


Becton 


06/24/96 




96 CSE 0580 


Chess 


06/13/96 




96 CSE 0581 


Phipps 


08/22/96 




96 CSE 0595 


Gray 


08/29/96 




96 CSE 0603 


Morrison 


08/26/96 




96 CSE 0629 


Reilly 


08/29/96 




96 CSE 0638 


West 


07/15/96 




96 CSE 0642 


Phipps 


09/03/96 




96 CSE 0651 


Becton 


09/30/96 




96 CSE 0690 


Mann 


07/23/96 




96 CSE 0703 


Gray 


10/04/96 




96 CSE 0732 


Morrison 


09/30/96 




96 CSE 0733 


Reilly 


09/30/96 




96 CSE 0774 


Smith 


11/13/96 




96 CSE 0790 


Becton 


08/14/96 




96 CSE 0844 


Phipps 


10/25/96 




96 CSE 0845 


Mann 


10/29/96 




96 CSE 0878 


Phipps 


10/25/96 




96 CSE 0968 


Gray 


10/25/96 




96 CSE 0981 


Morrison 


10/24/96 




96 CSE 1012 


Reilly 


10/28/96 




96 CSE 1071 


Smith 


11/14/96 




96 CSE 1086 


Becton 


10/30/96 




96 CSE 1170 


Reilly 


12/10/96 




96 CSE 1191 


Gray- 


12/12/96 




96 CSE 1276 


Chess 


11/04/96 




96 CSE 1328 


Mann 


12/10/96 




96 CSE 1333 


Smith 


11/14/96 




96 CSE 1339 


Gray 


12/12/96 




96 CSE 1347 


Morrison 


11/14/96 




96 CSE 1375 


Morrison 


12/10/96 




96 CSE 1378 


Gray 


12/12/96 




96 CSE 1380 


Reilly 


11/15/96 




96 CSE 1402 


Gray 


12/12/96 




96 CSE 1412 


Smith 


12/12/96 




96 CSE 1437* c 


Gray 


12/12/96 




96 CSE 1445 


Phipps 


12/12/96 




96 CSE 1581 


Mann 


12/10/96 




96 CRA 1244 


Reilly 


12/10/96 




96 CRA 1289 


Phipps 


12/12/96 




96 CRA 1302 


Morrison 


12/10/96 




96 CRA 1320 


Morrison 


12/12/96 




96 CRA 1321 


Reilly 


12/13/96 




96 CRA 1369 


Phipps 


12/12/96 




96 CRA 1372 


Mann 


12/10/96 




96 CRA 1386 


Reilly 


12/13/96 




96 CRA 1399 


West 


11/14/96 




96 CRA 1436* u 


Gray 


12/12/96 




96 CRA 1526 


Morrison 


12/10/96 




95 DCS 0921 


Morrison 


05/09/96 




95 DCS 0958 


West 


04/04/96 




95 DCS 1114 


Reilly 


04/26/96 




95 DCS 1115 


Phipps 


06/04/96 




95 DCS 1137* 6 


Chess 


06/11/96 




95 DCS 1142* 6 


Chess 


06/11/96 




96 DCS 0065 


Reilly 


03/22/96 




96 DCS 0176 


Gray 


07/30/96 




96 DCS 0298 


Gray 


11/06/96 




96 DCS 0792 


Chess 


10/08/96 




96 DCS 1140 


Gray 


12/12/96 




96 DCS 1353 


Smith 


12/12/96 





INSURANCE 



1523 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



CONTESTED CASE DECISIONS 



AGENCY 



Carol M. Hall v. Teachers & State Employees Comp. Major Medical Plan 

Arthur Wayne Dempsey v. Department of Insurance 

Deborah B. Beavers v. Teachers & St. Emp. Comp. Major Med. Plan 

Nadia A. Hakim v. Department of Insurance 

Kathleen D. Jarvis v. Teachers & St. Emp. Comp. Major Med. Plan 

Mary Alice Casey v. Department of Insurance 

Nancy C. Lowe v. Teachers & State Employees Comp. Major Med. Plan 



CASE 




DATE OF 


PUBLISHED DECISION 


NUMBER 


AL.I 


DECISION 


REGISTER CITATION 


95 INS 1141 


Phipps 


04/01/96 




95 INS 1255 


Smith 


04/22/96 




95 INS 1411 


Smith 


05/10/96 


11:05 NCR 308 


95 INS 1422 


Smith 


03/26/96 




96 INS 0075 


Morrison 


10/16/96 




96 INS 0148 


Reilly 


08/14/96 




96 INS 0726 


West 


11/20/96 





JUSTICE 

Wendy Atwood v. Department of Justice (Company Police Program) 
Deborah K. Torrance v. Company Police Program Administrator 
John O. Beach v. Alarm Systems Licensing Board 
Ronald R. Coats v. Alarm Systems Licensing Board 

Education and Training Standards Division 



96DOJ0111 


Chess 


08/07/96 


96 DOI 0363 


Becton 


08/14/96 


96 DOJ 1362 


West 


11/19/96 


96DOJ 1364 


Phipps 


11/26/96 



Freddie Levern Thompson v. Criml. Justice Ed. & Training Stds. Comm. 

Shane Douglas Crawford v. Sheriffs' Ed. & Training Stds. Comm. 

Charles Henry Daniels v. Criml. Justice Ed. & Training Stds. Comm. 

Valerie Maxine Brewington v. Criml. Justice Ed. & Training Stds. Comm. 

Patricia Josephine Bonanno v. Sheriffs' Ed. &. Training Stds. Comm. 

Douglas Allan Stuart v. Sheriffs' Ed. & Training Stds. Comm. 

Rick M. Evoy v. Criminal Justice Ed. & Training Stds. Comm. 

Windell Daniels v. Criminal Justice Ed. &. Training Stds. Comm. 

Gregory Lee Daughtridge v. Sheriffs' Ed. & Training Stds. Comm. 

Sherrie Ann Gainey v. Sheriffs' Ed. & Training Stds. Comm. 

Stuart Hugh Rogers v. Sheriffs' Ed. & Training Stds. Comm. 

Brian Thomas Craven v. Sheriffs' Ed. & Training Stds. Comm. 

Larry D. Weston v. Sheriffs' Ed. & Training Stds. Comm. 

Carlton Gerald v. Criminal Justice Ed. &. Training Stds. Comm. 

Ken Montie Oxendine v. Criminal Justice Ed. & Training Stds. Comm. 

James Leon Hunt v. Criminal Justice Ed. & Training Stds. Comm. 

David Kent Knight v. Sheriffs' Ed. & Training Stds. Comm. 

Demetrius Arnez Brown v. Criminal Justice Ed. & Training Stds. Comm. 

Claude F. Nunnery v. Sheriffs' Ed. & Training Stds. Comm. 

John Charles Maloney v. Sheriffs' Ed. & Training Stds. Comm. 

Jimmie L. Cooper v. Sheriffs' Ed. & Training Stds. Comm. 

Jerry Glenn Monette v. Sheriffs' Ed. & Training Stds. Comm. 

Carlton Gerald v. Criminal Justice Ed. & Training Stds. Comm. 

Woodrow Andrew Clark v. Criminal Justice Ed. & Training Stds. Comm. 

Warren Scott Nail v. Criminal Justice Ed. & Training Stds. Comm. 

Zoriana Lyczkowski v. Sheriffs' Ed. & Training Stds. Comm. 

Philip A. Berezik, Jr. v. Criminal Justice Ed. & Training Stds. Comm. 

George Willie Gilliam v. Sheriffs' Ed. & Training Stds. Comm. 

Glenn R. Brammer v. Sheriffs' Ed. & Training Standards Comm. 

Timothy Wayne Fulford v. Sheriffs' Ed. & Training Stds. Comm. 

Brent Lee Millsaps v. Sheriffs' Ed. & Training Stds. Comm. 

James Michael Doe v. Criminal Justice Ed. & Training Stds. Comm. 



95 DOJ 0731 


Chess 


02/29/96 




95 DOJ 0943 


Reilly 


05/17/96 




95 DOJ 1070 


West 


06/12/96 




95 DOJ 1 129 


Smith 


04/12/96 




95 DOJ 1152 


Chess 


03/25/96 




95 DOJ 1 189 


Morrison 


06/06/96 




95 DOJ 1235 


Chess 


03/25/96 




95 DOJ 1320 


Gray 


07/24/96 




96 DOJ 0027 


Reilly 


03/19/96 




96 DOJ 0028 


Becton 


08/09/96 




96 DOJ 0029 


West 


06/18/96 




96 DOJ 0036 


Gray 


07/09/96 




96 DOJ 0037 


Smith 


06/12/96 




96 DOJ 0068 


Gray 


03/26/96 




96 DOJ 0071 


West 


03/28/96 




96 DOJ 0077 


Phipps 


07/25/96 




96 DOJ 01 15 


West 


03/28/96 




96 DOJ 0138 


Becton 


08/09/96 




96 DOJ 0305 


Gray 


08/28/96 




96 DOJ 0306 


Smith 


08/16/96 




96 DOJ 0352 


Morrison 


07/12/96 




96 DOJ 0420 


Morrison 


07/26/96 11:10 NCR 874 


96 DOJ 0432 


Becton 


08/07/96 




96 DOJ 0515 


West 


10/07/96 




96 DOJ 0576 


Becton 


08/07/96 




96 DOJ 0619 


Morrison 


10/21/96 




96 DOJ 0652 


Reilly 


11/13/96 




96 DOJ 0656 


Morrison 


08/02/96 




96 DOJ 0839 


Smith 


09/05/96 




96 DOJ 0840 


Smith 


09/16/96 




96 DOJ 0841 


Chess 


09/24/96 




96 DOJ 0957 


Phipps 


12/06/96 





Private Protective Services Board 



Timothy A. Hawkins v. Private Protective Services Board 
William F. Combs v. Private Protective Services Board 
Randy C. Hoyle v. Private Protective Services Board 
Robert A. Gibson v. Private Protective Services Board 
Jimmy D. Matthews v. Private Protective Services Board 
Johnnie Lee King v. Private Protective Services Board 
Thomas R. Harris v. Private Protective Services Board 
Private Protective Services Board v. Henry E. Byrd, Jr. 
Larry Boggs v. Private Protective Services Board 
Private Protective Services Board v. Charles T. Mathis 
Private Protective Services Board v. Ricky C. Mullinax 
Private Protective Services Board v. Michael A. Smith 



95 DOJ 1419 


West 


04/12/96 


96 DOJ 0022 


West 


03/22/96 


96 DOJ 0024 


Smith 


06/10/96 


96 DOJ 0386 


Smith 


07/03/96 


96 DOJ 0676 


Reilly 


07/11/96 


96 DOJ 0677 


Reilly 


07/11/96 


96 DOJ 0761 


Reilly 


07/11/96 


96 DOJ 0796 


Mann 


08/19/96 


96 DOJ 0797 


Morrison 


10/10/96 


96 DOJ 0798 


Mann 


08/27/96 


96 DOJ 0800 


Becton 


10/04/96 


96 DOJ 0801 


Becton 


10/09/96 



MEDICAL BOARD 



Medical Board v. Martin A. Hatcher, M.D. 
PUBLIC INSTRUCTION 



92BME0510 



Gray 



06/28/96 



11:08 NCR 555 



LavernK. Suggs v. NC Board of Education 95 EDC 0383 Smith 

J.T.S. &.T.S., Parents of E. M.S. v. Chapel Hill-Carrboro City Schl. Sys. 95 EDC 1194 Mann 



03/13/96 
04/12/96 



11:01 NCR 50 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1524 



CONTESTED CASE DECISIONS 



AGENCY 



L.O. v. Charlotte-Mecklenburg Board of Education 

Candyce Ewanda Newsome v. Hertford County Board of Education 

W. and G.B., on Behalf of C.B. v. Winston-Salem/Foreyth Cty. Schools 

Cyvonne Rush Bryant v. NC State Board of Education 

Steve Wright Brown v. State Board of Education 

Blaise Malveau v. Cumberland County Board of Education 

Blaise Malveau v. Cumberland County Board of Education 

John Barlow v. Watauga County Board of Education 

John L. Archer v. Department of Public Instruction 

Pamela F. Cummings v. Department of Public Instruction 

Susie Whitley /Brandon Whitley v. Charlotte-Mecklenburg Bd. of Ed. 

Michael Wayne Geter v. Charlotte-Mecklenburg School Board 

Felicia M. Moore v. Charlotte-Mecklenburg Schools & Dept. of Public Ins. 

STATE PERSONNEL 



CASE 




DATE OF 


PUBLISHED DECISION 


NUMBER 


ALJ 


DECISION 


REGISTER CITATION 


96 EDC 0285 


Mann 


05/31/96 




96 EDC 0344 


Chess 


05/15/96 




96 EDC 0349 


Mann 


09/03/96 




96 EDC 0591 


Becton 


09/11/96 




96 EDC 0593 


Reilly 


10/11/96 




96 EDC 0613 


Chess 


08/14/96 




96 EDC 0614 


Chess 


08/14/96 




96 EDC 0623 


Reilly 


07/24/96 




96 EDC 0678 


Smith 


08/02/96 




96 EDC 0742 


Smith 


08/16/96 




96 EDC 0964 


Chess 


09/17/96 




96 EDC 1036 


West 


09/23/96 




96 EDC 1303 


Smith 


11/25/96 





Department of Administration 

Jimmic A. Hughes, Jr. v. Department of Administration 

Jonathan L. Fann v. Department of Administration, Admin. Personnel 

Carlton Gerald v. State Capitol Police, Department of Administration 

Administrative Office of the Court 

Ethel R. Tyson v. NC Judicial Dept., Administrative Office of the Court 

Albemarle Mental Health Center 

Judy A. Gordon v. Albemarle Mental Health Center 

Appalachian State University 

Janice S. Walton v. Appalachian St University, Claude Cooper, Bill Ragan 
Janice S. Carroll v. Appalachian St University, Claude Cooper, Bill Ragan 
Theresa Louise Whittington v. Appalachian State University 

A & T State University 

Joey M. Carey v. A & T State University 

Caldwell County 

Blake C. Pace v. Caldwell County 

Catawba County Mental Health 

Tonyer J. Ruff v. Catawba County Mental Health 

NC Central University 

Francina Y. Tate v. Chancellor Julius L. Chambers, NC Central Univ. 
Renee Lynch v. NC Central University 

Central North Carolina School for the Deaf 

Felicia S. Milton v. Central North Carolina School for the Deaf 

Department of Correction 

Haydee Craver v. Department of Correction, Pender Correctional Inst. 

Gregory Allen Jones v. Department of Correction, Supt. Bonnie Boyette 

Carolyn Cheek v. Department of Correction 

Calvia L. Hill v. Department of Correction, McCain Correctional Hospital 

Alisha Louise StaJey v. Randolph Correctional Center 

Brenda Propst v. Foothills Correctional Institution 

Delon D. Solomon v. Department of Correction 

Alisha Louise Staley v. Randolph Correctional Center 

Ann Williams v. Department of Correction 

Haydee C. Craver v. Department of Correction, Christopher Phillips 

Dwight Taylor, Mike Estep, Jackie Boone, Robert Pitman, Jeffery Clark 

v. Department of Correction 
Dwight Taylor, Mike Estep, Jackie Boone, Robert Pitman, Jeffery Clark 

v. Department of Correction 



96 OSP 0008 


Reilly 


07/23/96 


96 OSP 0042 


Gray 


05/24/96 


96 OSP 01 16 


Gray 


04/25/96 



96 OSP 0080 



96 OSP 0354 



96 OSP 0393 



96 OSP 0047 



96 OSP 0951 



95 OSP 1432 
95 OSP 1461 



95 OSP 1241 



Smith 



Chess 



West 



Morrison 



Becton 



Smith 
Smith 



Chess 



03/15/96 



10/17/96 



96 OSP 0062 


West 


03/13/96 


96 OSP 0063 


West 


03/07/96 


96 OSP 0350 


Smith 


10/09/96 



10/10/96 



04/01/96 



10/22/96 



04/22/96 
10/03/96 



05/17/96 



95 OSP 1046 


Gray 


03/12/96 


95 OSP 1290 


Phipps 


05/14/96 


95 OSP 1441 


Smith 


09/19/96 


95 OSP 1460 


Gray 


05/17/96 


96 OSP 0092 


Gray 


06/03/96 


96 OSP 0199 


Morrison 


04/09/96 


96 OSP 0258 


West 


07/02/96 


96 OSP 0261 


Morrison 


08/05/96 


96 OSP 0279 


Phipps 


10/31/96 


96 OSP 0348 


Phipps 


05/15/96 


96 OSP 0372 * 8 


Smith 


07/05/96 


96OSP0373* 8 


Smith 


07/05/96 



11:15 NCR 1255 



1525 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



CONTESTED CASE DECISIONS 



AGENCY 



Dwight Taylor, Mike Estep, Jackie Boone, Robert Pitman, Jeffery Clark 

v. Department of Correction 
Dwight Taylor, Mike Estep, Jackie Boone, Robert Pitman, Jeffery Clark 

v. Department of Correction 
Dwight Taylor, Mike Estep, Jackie Boone, Robert Pitman, Jeffery Clark 

v. Department of Correction 
Rebecca A. Faison v. Department of Correction for Women 
Calvia L. Hill v. Department of Correction, McCain Correctional Hospital 
James A. Klein v. Department of Correction 
Tony R. Broffman v. Department of Correction 
Mary Hargraves v. Department of Correction 
Michael S. Doe v. Caswell Center 
Timothy L. Willis v. Caswell Correctional Center 
Alisha Louise Stalcy v. Randolph Correctional Center 
Sharon Oxendine v. Department of Correction 

Department of Crime Control and Public Safety 

Jerry Lee Fields v. State Highway Patrol 

Gene Wells v. Crime Control & Public Safety, State Highway Patrol 

Hearl Oxendine v. Crime Control & Public Safety, St. Highway Patrol 

Jerry Lee Fields v. State Highway Patrol 

Gene Wells v. Crime Control & Public Safety, State Highway Patrol 

Peter Mason Griffin v. Crime Control & Public Safety, St. Highway Patrol 96 OSP 1309 



CASE 




DATE OF 


PUBLISHED DECISION 


NUMBER 


AL.I 


DECISION 


REGISTER CITATION 


96 OSP 0374* 8 


Smith 


07/05/96 




96 OSP 0375* 8 


Smith 


07/05/96 




96 OSP 0376* 8 


Smith 


07/05/96 




96 OSP 0383 


Becton 


10/01/96 




96 OSP 0397 


Gray 


08/15/96 




96 OSP 0434 


Gray 


10/29/96 




96 OSP 0625 


Becton 


08/29/96 




96 OSP 0674 


Smith 


09/05/96 




96 OSP 0691 


Phipps 


09/23/96 




96 OSP 0715 


West 


07/30/96 




96 OSP 0780 


Smith 


10/16/96 




96 OSP 0999 


Becton 


10/22/96 





94 OSP 1174*'° 


Gray 


08/05/96 


95 OSP 0249*' 


Smith 


07/23/96 


95 OSP 0697 


Smith 


10/16/96 


95 OSP 0836*'° 


Gray 


08/05/96 


95 OSP 1050*' 


Smith 


07/23/96 


96 OSP 1309 


Gray 


12/12/96 



Durham County Health Department 

Lylla D. Stockton v. Durham County Health Department 

East Carolina University 

Gregory Lapicki v. East Carolina University 

BelaE. Karvaly, Ph.D. v. ECU Bd. of Trustees, Ch. Richard R. Eakin 



95 OSP 0176 



94 OSP 1721 
96 OSP 0150 



West 



Reilly 
Chess 



07/02/96 



09/26/96 
05/08/96 



Employment Security Commission 

Gene S. Baker v. Gov. James B. Hunt, Jr., Ann Q. Duncan, Chairman, 

Employment Security Commission 
William Herbert Allen v. Employment Security Commission 
Patricia Gary v. Employment Security Commission 
Tonderlier Lynch v. Emp. Security Comm., Austin Quality Foods, Inc. 

Department of Environment, Health, and Natural Resources 



93 OSP 0707 


Becton 


05/16/96 


11:05 NCR 


300 


94 OSP 1688 


West 


06/11/96 






95 OSP 0793 


Chess 


05/14/96 






96 OSP 0275 


Chess 


05/21/96 







Roberta Ann "Robin" Hood v. Environment, Health, & Natural Resources 95 OSP 0035 Reilly 

Kathy B. Vinson v. Dept. of Environment, Health, & Natural Resources 95 OSP 0203 Gray 

Donald E. Batts v. Division of Adult Health, EHNR 95 OSP 1071 Smith 



04/09/96 
09/18/96 
10/01/96 



11:13 NCR 1087 



Fayetteville State University 



William C. Neal v. Fayetteville State University 



95 OSP 0392 



Smith 



04/22/96 



Guilford County Area Mental Health. Developmental Disabilities and Substance Abuse 



Stuart Klatte v. Guilford Cty Area MH/DD/SAS, St. Per Comm, OSP 

Department of Human Resources 

Myron A. Smith v. DHR, Division of Child Development 

Ophelia Webb v. Edard R. Inman, Dir. Alamance Cty DSS, Alamance 

Cty DSS, Alamance County, and DHR 
Peggy Pledger v. Department of Human Resources, Dorothea Dix Hosp. 
Peggy Pledger v. Department of Human Resources, Dorothea Dix Hosp. 
Peggy Pledger v. Department of Human Resources, Dorothea Dix Hosp. 
Gail Marie Rodgers Lincoln v. DHR, DMH/DD/SAS-Cherry Hosp., 

Cherry Hospital 
Cynthia D. Hickman v. DHR, Central School for the Deaf 
Johnny Earl Young v. Unit Head Director of Food & Nutrition 
Peggy Pledger v. Department of Human Resources, Dorothea Dix Hosp. 
Mary A. Boogaerts v. Cherry Hospital, Goldsboro, NC 
Kelvin Parter v. Dorothea Dix Hospital 

Johnny Earl Young v. Unit Head Director of Food & Nutrition 
Johnny Earl Young v. Unit Head Director of Food &. Nutrition 



95 OSP 1179 



Smith 



07/19/96 



11:10 NCR 865 



95 OSP 1033 


Morrison 


11/27/96 


96 OSP 01 12 


Gray 


03/13/96 


96 OSP 01 14*" 


Gray 


11/05/96 


96 OSP 0146*" 


Gray 


11/05/96 


96 OSP 0147*" 


Gray 


11/05/96 


96 OSP 0159 


Chess 


06/17/96 


96 OSP 0191 


Becton 


09/23/96 


96 OSP 0217 


Reilly 


08/13/96 


96 OSP 0241*" 


Gray 


11/05/96 


96 OSP 0269 


Becton 


05/29/96 


96 OSP 0294 


Chess 


08/07/96 


96 OSP 0543 


Reilly 


07/09/96 


96 OSP 0590 


Reilly 


07/09/96 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1526 



CONTESTED CASE DECISIONS 



95 OSP 1487 



AGENCY 

Kim A. Bell v. Walter B. Jones Alcohol & Drug Abuse Treatment Center 

Lynn S. Hales v. John Umstead Hospital 

Deborah Ayala v. DHR/DSS/Child Support Enforcement 

Jacqueline C. Branch v. Division of Facility Services 

Buncombe County Department of Social Services 

Kathy Davis v. Buncombe County Department of Social Services 

Caswell Center 

Ramona C. Jenkins v. Department of Human Resources, Caswell Center 
Ramona C. Jenkins v. Department of Human Resources, Caswell Center 
Franklin D. Sutton v. Department of Human Resources, Caswell Center 

Cumberland County Department of Social Services 
Ruth Fortner v. Cumberland County Department of Social Services 96 OSP 0829 

Durham County Department of Social Senices 
Jan E. Smith v. Durham County Department of Social Services 95 OSP 1 121 

Halifax County Department of Social Services 
Clairbel Thomas v. Halifax County DSS &. Director, Halifax County DSS 95 OSP 0905 

Haywood County Department of Social Services 
Carol Hubbard v. Haywood County Department of Social Services 95 OSP 1084 

Lenoir County Department of Social Services 



CASE 




DATE OF 


PUBLISHED DECISION 


NUMBER 


ALJ 


DECISION 


REGISTER CITATION 


96 OSP 0597 


Becton 


09/11/96 




96 OSP 0729 


West 


10/02/96 




96 OSP 1062 


Smith 


10/29/96 




96 OSP 1089 


Smith 


12/09/96 





Sharron S. Moten v. Lenoir County DSS, Jack B. Jones 
Felicia Ann Baker v. Lenoir County DSS, Jack B. Jones 

Dixision of Medical Assistance 
Harold Wiggins v. Division of Medical Assistance 

O 'Berry Center 
Samuel Geddie v. O'Berry Center 

Rockingham County Department of Social Services 
Lorretta Lawson v. Rockingham County DSS 

Vance County Department of Social Senices 
Robert Eugene Davis v. Vance County Department of Social Services 

Wake County Department of Social Services 
Phylis Gilbert v. Wake County Department of Social Services 

Wilson County Department of Social Senices 
Karen R. Davis v. Wilson County Department of Social Services 
Department of Insurance 
Larry W. Creech v. Department of Insurance 
Department of Labor 

Kevin P. Kolbe, Sr. v. Department of Labor 
New Hanover County Board of Health 
Tabandeh Zand v. New Hanover County Board of Health 
Pembroke State University 



96 OSP 1100 
96 OSP 1101 



95 OSP 1482 



96 OSP 0414 



96 OSP 0471 



96 OSP 0157 



95 OSP 1238 



96 OSP 0394 



95 OSP 0631 



95 OSP 0968 



95 OSP 1035 



West 



Becton 



Morrison 



West 



Reilly 



Gray 
Gray 



West 



Morrison 



West 



Reilly 



Phipps 



Chess 



Reilly 



Morrison 



Smith 



08/09/96 



89 OSP 0411 


Becton 


03/26/96 






91 OSP 0522 


Becton 


03/26/96 


11:02 NCR 


89 


94 OSP 0766 


Smith 


03/21/96 







12/02/96 



05/24/96 



05/29/96 



08/30/96 



12/06/96 
12/12/96 



06/11/96 



06/13/96 



06/13/96 



10/28/96 



06/27/96 



11/01/96 



06/06/96 



03/14/96 



03/01/96 



11:06 NCR 395 



11:13 NCR 1092 



11:07 NCR 434 



11:01 NCR 58 



1527 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



AJLJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
1 CITATION 



Bruce W. Hunt v. Pembroke State University 

Department of Public Instruction 

Johnny Leak v. Public Schools of NC, Dept. of Public Instruction 
McLennard Jay v. Person County Schools 

Sandhill Community College 

Earl Levon Womack v. Sandhill Community College Bd. of Trustees 

Office of the State Controller 

Angela M. Terry v. Office of the State Controller 

North Carolina State University 

Vernell Mitchell v. North Carolina Cooperative Extension 

Department of Transportation 

Pearlie M. Simuel-Johnson v. Department of Transportation 

Dorothy J. Grays v. Div. of Motor Vehicles, Dept. of Transportation 

James H. Broyhill v. Department of Transportation 

Pearlie M. Simuel-Johnson v. Department of Transportation 

Lisa Ann Lee v. Department of Transportation 

Melvin Duncan v. Department of Transportation 

Greg Brown v. Department of Transportation 

Jesse Wayne Castle v. State Highway Maint., Guess Rd., Durham, NC 

Archie Brooks v. W. F. Rosser, Department of Transportation 

Jessie L. Allen et al. v. DMV Enforcement Section 

Dwight Odell Graves v. DOT Maintenance, Caswell County 

R.L. Singleton v. Department of Transportation 

William Dean Gillenwater v. Department of Transportation 

Stephanie Taylor v. Department of Motor Vehicles 

Tri-County Mental Health Complex 

Deborah Heil v. Tri-County Mental Health Complex 

University of North Carolina 

Pamela B. Edwards v. University of North Carolina at Chapel Hill 

Keith R. Cameron v. University of North Carolina at Chapel Hill 

Jerel H. Bonner v. School of Nursing UNC at Chapel Hill 

Bela E. Karvaly, Ph.D. v. UNC Bd. of Gov., Pres. CD. Spangler, Jr. 

Carl E. Whigham v. UNC Hospitals at Chapel Hill 

J. Scott Spears v. Ralph Pedereon and UNC-C 

Nellie Joyce Ferguson v. UNC Physicians & Assoc, Charles Foskey, Dir. 

Mae Helen Lewis v. UNC Greensboro - Physical Plant 

Wake County Board of Health 

Debbie L. Whitley v. Env. Health Div. Wake Cty. Dept. of Health 

Western Carolina University 

Kristin K. Parkinson v. Western Carolina University 

STATE TREASURER 

Donald B. Durham v. Teachers' & St. Employees Retirement Sys. 
Joyce Clyburn v. Dept. of State Treasurer Retirement Systems Division 



95 OSP 1288 



Bee ton 



12/02/96 



96 OSP 0861 


Phipps 


09/05/96 


96 OSP 0862 


Phipps 


09/04/96 


96 OSP 0573 


Phipps 


07/25/96 



96 OSP 0402 



96 OSP 0132 



Becton 



Gray 



95 OSP 1100 



96 OSP 0987 



92 DST 1066 
96 DST 1087 



DEPARTMENT OF TRANSPORTATION 

James E. Phillips v. Department of Transportation, Div. of Motor Vehicles 96 DOT 1829 



Smith 



Becton 



Chess 
Smith 



Reilly 



08/07/96 



05/10/96 



94 OSP 0589- 1 


Gray 


03/01/96 




94 OSP 1044 


Reilly 


04/12/96 


11:03 NCR 173 


95 OSP 0673 


Gray 


12/02/96 




95 OSP 0837*' 


Gray 


03/01/96 




95 OSP 1099 


Reilly 


07/31/96 




95 OSP 1462 


Morrison 


03/08/96 




96 OSP 0048 


Reilly 


05/02/96 




96 OSP 0087 


Gray 


04/15/96 




96 OSP 0239 


Smith 


05/17/96 




96 OSP 0408 


Becton 


08/12/96 




96 OSP 0616 


Morrison 


10/24/96 




96 OSP 0683 


Becton 


08/12/96 




96 OSP 0684 


Gray 


12/13/96 




96 OSP 0955 


Becton 


08/29/96 


11:13 NCR 1095 



03/22/96 



95 OSP 0842 


Chess 


06/28/96 




95 OSP 1060 


Morrison 


06/24/96 




96 OSP 0026 


Gray 


03/12/96 


11:01 NCR 61 


96 OSP 0151 


Chess 


05/08/96 




96 OSP 0248 


Chess 


06/11/96 




96 OSP 0548 


Chess 


08/30/96 




96 OSP 0977 


Phipps 


10/02/96 




96 OSP 1000 


Reilly 


10/21/96 




96 OSP 1090 


Smith 


09/05/96 





10/22/96 



07/17/96 
10/18/96 



12/10/96 



11:09 NCR 810 



Consolidated cases. 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1528 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF PUBLISHED DECISION 

DECISION REGISTER CITATION 



UNIVERSITY OF NORTH CAROLINA 



Sylvia Jeffries v. University of NC Hospitals at Chapel Hill 

James E. Boudwin v. University of NC Hospitals at Chapel Hill 

Rufus T. Moore Jr. v. UNC Hospital 

Marcia Spruill v. UNC Hospitals - Patient Accounts 

Charles E. Houlk v. UNC Hospitals 



96 UNC 0067 


Gray 


04/16/96 


96 UNC 0343 


Chess 


07/22/96 


96 UNC 0470 


Reilly 


08/12/96 


96 UNC 0500 


Bee ton 


07/10/96 


96 UNC 0588 


Morrison 


08/09/96 



1529 



NORTH CAROLINA REGISTER 



January 2, 1997 



11:19 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA IN THE OFFICE OF 

ADMINISTRATIVE HEARINGS 
COUNTY OF CARTERET 96 EHR 0692 

JULIAN G. GILGO, 
Petitioner, 

RECOMMENDED DECISION 
GRANTING 
SUMMARY JUDGMENT 
N.C. DEHNR, 

Respondent. 

This matter came before the undersigned administrative law judge September 17, 1996, upon Respondent's Motion for 
Summary Judgment pursuant to Rule 56 of the North Carolina Rules of Civil Procedure. Respondent's motion alleges that there 
is no genuine issue of material fact as shown by the pleadings and affidavits, and that the moving party is entitled to judgment as 
a matter of law. 

APPEARANCES 

For Petitioner: Julian G. Gilgo, pro se 

For Respondent: Jay L. Osborne 

Assistant Attorney General 

ISSUE 

Whether Petitioner's Application for Lease of Shellfish Bottom no. 9520 was improperly denied by Respondent. 

SUMMARY OF UNDISPUTED FACTS 

Based upon the parties' pleadings and affidavits, the undersigned summarizes the undisputed facts as follows: 

1. On November 27, 1995, Petitioner submitted to the Division of Marine Fisheries his Application for Lease of Shellfish 
Bottom (application no. 9520). The bottom for which the lease application was made is described as "(a)n area of bottom in Core 
Sound, between the oyster creek and Davis community harbor in Davis." 

2. On May 23, 1996, the General Assembly ratified House Bill 1074 which, among other things, stated that Respondent "shall 
not grant shellfish cultivation leases for the area along Portsmouth Island and Core Banks in Carteret County." (section 1 of the 
bill). Additionally, the bill retroactively placed a moratorium on the issuance of all shellfish cultivation lease applications "in the 
remaining area of Carteret County not described in Section 1 of this act," which were pending as of May 1, 1996. The moratorium 
is to remain in effect until July 1, 1997. 

3. On June 21, 1996, the General Assembly ratified House Bill 1077 which ended the Carteret County moratorium and 
substituted an identical moratorium for Core Sound. The Core Sound moratorium also applied to shellfish cultivation lease 
applications pending as of May 1, 1996. 

4. Petitioner's proposed lease is located within both the Carteret County and the Core Sound moratorium areas. 

5. On April 18, 1996, the Director of the Division of Marine Fisheries drafted and signed a letter to Petitioner entitled 
"Notice of Request for Shellfish Lease Application Amendment." This letter requested that Petitioner make certain amendments 
to his application and asked that he respond within 30 days. The letter also indicated: 

Failure to respond within thirty days will be considered a refusal of the amendments. Marine Fisheries Rules 
require denial of applications when applicants fail to make the requested amendments. 

6. The April 18 letter was placed in Petitioner's application file but was never mailed or delivered to Petitioner, and was, 
in some manner, released to members of the public. 



11:19 NORTH CAROLINA REGISTER January 2, 1997 1530 



CONTESTED CASE DECISIONS 



7. On May 8, 1996, Respondent issued a letter to Petitioner denying the lease application at issue. 

CONCLUSIONS OF LAW 

The moratoriums enacted by the General Assembly clearly and unambiguously applied to all shellfish lease applications 
pending as of May 1, 1996. Assuming, arguendo, that the April 18, 1996 letter contained in Petitioner's file had any legal effect, 
then it must be construed as a counteroffer to Petitioner's offer - his application for a shellfish lease. It cannot be construed as 
an acceptance of Petitioner's offer since it varied the material terms of his offer; thus, it operates simultaneously as a rejection and 
a counteroffer. Since this counteroffer was never communicated to Petitioner, Petitioner was never in a position where he could 
manifest assent to the counteroffer. 

Further, assuming arguendo that when Respondent placed the letter in the file and it was released to some members of 
the public, Petitioner received constructive communication of Respondent's counteroffer and as Petitioner alleges, would have 
accepted the counteroffer, Petitioner's application still would not have vested into an enforceable contract upon Petitioner's assent 
due to a condition precedent. The Division of Marine Fisheries is required by statute to conduct a public hearing in the county 
where the proposed leasehold lies and is also required to give notice at least 20 days prior to the public hearing. G.S. 1 13-202(f). 
Thus, assuming Petitioner would have manifested assent to Respondent's counteroffer on April 18, the legislation imposing a 
moratorium would have taken place prior to the condition precedent being satisfied, rendering the negotiations moot. 

SUMMARY JUDGMENT 

IT IS THEREFORE recommended that summary judgment under Rule 56 of the North Carolina Rules of Civil Procedure, 
applicable to contested cases under 26 NCAC 3 .0101(1), be entered in favor of Respondent because there is no genuine issue of 
material fact and, as a matter of law, Petitioner is not entitled to the relief sought in his Petition. 

ORDER 

It is hereby ordered that the agency serve a copy of the final decision on the Office of Administrative Hearings, P.O. 
Drawer 27447, Raleigh, N.C. 27611-7447, in accordance with North Carolina General Statute 150B-36(b). 

NOTICE 

The agency making the final decision in this contested case is required to give each party an opportunity to file exceptions 
to this recommended decision and to present written arguments to those in the agency who will make the final decision. G.S. 150B- 
36(a). 

The agency is required by G.S. 150B-36(b) to serve a copy of the final decision on all parties and to furnish a copy to the 
parties' attorney of record and to the Office of Administrative Hearing s. 

The agency that will make the final decision in this contested case is the Department of Environment, Health and Natural 
Resources. 

This the 6th day of December, 1996. 



Thomas R. West 
Administrative Law Judge 



1531 NORTH CAROLINA REGISTER January 2, 1997 11:19 



NORTH CAROLINA ADMINISTRATIVE CODE CLASSIFICATION SYSTEM 



1 he North Carolina Administrative Code (NCAC) has four major subdivisions of rules. Two of these, titles and chapters, 
are mandatory. The major subdivision of the NCAC is the title. Each major department in the North Carolina executive 
branch of government has been assigned a title number. Titles are further broken down into chapters which shall be 
numerical in order. The other two, subchapters and sections are optional subdivisions to be used by agencies when 
appropriate. 



TITLE/MAJOR DIVISIONS OF THE NORTH CAROLINA ADMINISTRATIVE CODE 



TITLE 


DEPARTMENT 


LICENSING BOARDS 


CHAPTER 


1 


Administration 


Acupuncture 


1 


2 


Agriculture 


Architecture 


2 


3 


Auditor 


Auctioneers 


4 


4 


Commerce 


Barber Examiners 


6 


5 


Correction 


Certified Public Accountant Examiners 


8 


6 


Council of State 


Chiropractic Examiners 


10 


7 


Cultural Resources 


General Contractors 


12 


8 


Elections 


Cosmetic Art Examiners 


14 


9 


Governor 


Dental Examiners 


16 


10 


Human Resources 


Dietetics/Nutrition 


17 


11 


Insurance 


Electrical Contractors 


18 


12 


Justice 


Electrolysis 


19 


13 


Labor 


Foresters 


20 


14A 


Crime Control & Public Safety 


Geologists 


21 


15A 


Environment, Health, and Natural 


Hearing Aid Dealers and Fitters 


22 




Resources 


Landscape Architects 


26 


16 


Public Education 


Landscape Contractors 


28 


17 


Revenue 


Marital and Family Therapy 


31 


18 


Secretary of State 


Medical Examiners 


32 


19A 


Transportation 


Midwifery Joint Committee 


33 


20 


Treasurer 


Mortuary Science 


34 


*21 


Occupational Licensing Boards 


Nursing 


36 


22 


Administrative Procedures 


Nursing Home Administrators 


37 


23 


Community Colleges 


Occupational Therapists 


38 


24 


Independent Agencies 


Opticians 


40 


25 


State Personnel 


Optometry 


42 


26 


Administrative Hearings 


Osteopathic Examination & Reg. (Repealed) 


44 


27 


NC State Bar 


Pastoral Counselors, Fee-Based Practicing 


45 






Pharmacy 


46 






Physical Therapy Examiners 


48 






Plumbing, Heating & Fire Sprinkler Contractors 


50 






Podiatry Examiners 


52 






Professional Counselors 


53 






Practicing Psychologists 


54 






Professional Engineers & Land Surveyors 


56 






Real Estate Appraisal Board 


57 






Real Estate Commission 


58 






Refrigeration Examiners 


60 






Sanitarian Examiners 


62 






Social Work Certification 


63 






Soil Scientists 


69 






Speech & Language Pathologists & Audiologists 


64 






Substance Abuse Professionals 


68 






Therapeutic Recreation Certification 


65 






Veterinary Medical Board 


66 



Note: Title 21 contains the chapters of the various occupational licensing boards. 



11:19 



NORTH CAROLINA REGISTER 



January 2, 1997 



1532 



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